compliance

When it is time to present your advice recommendation, whether that is providing quotes or product solutions or providing a strategy, are you giving the prospect a few choices…like 3 perhaps? Don’t do it. Consumers…

There are two types of advisers at this time of year: 1. those who begin finding it tough to close out the game 2. those who are already started on a new game. Typically in…

Most experienced advisers have preferred solutions that they go to first. But the variety of preferred solutions from those very good advisers often concerns regulators and industry observers…and that’s usually because there is a process…

Being properly valued for your expertise and eliminating the time-wasting tyre-kickers is an ongoing problem for many financial advisers. That is even more true for those making the transition from purely commission-based remuneration to generating…

Is it appropriate to be paying COI’s a share of your success from their introductions or referrals? Should you share fees or commissions in other words. Personally, I think not. However, it is just a…

Financial advisers who need more clients need to be better marketers than salespeople in todays environment. For most that means they probably need new, or more, skills. Not more technical skills; more commercial skills. While…

I encourage you to try this: fire a client. It is liberating, and it moves your thinking and sense of self worth onto a different professional plane. Pretty much everyone who has been in professional…

Whether we like it or not there is always the possibility of fee resistance in delivering financial advice, and how we present our service is a large part of that problem. Price is always a…