8 Ways to Build Extreme Client Loyalty
These steps, large and small, will sustain long-lasting client relationships.
Will Low Investment Returns Wreck Retirement?
A challenging environment for asset returns demands new thinking, Michael Finke writes.
How Clearing Firms Embraced Innovation
A tougher, revamped clearing industry pursues its high-tech future.
Just How Hot Are Liquid Alts?
Experimenting with alternative mutual funds is a complex and risky business, Michael Finke writes.
Come April, if not earlier, taxes occupy a huge space in your clients’ brains. If you’re providing tax advice, taxes are taking up valuable real estate in your brain, too, if they haven't taken over entirely.
Dishonest Services: SEC’s Fight Against Public Corruption
We often think of laws to combat corruption as anti-bribery and anti-kickback laws. But the SEC is increasingly using securities fraud laws as a tool.
Aiding and Abetting: How Client Wrongdoing Can Hurt You
Most financial advisors would refuse to aid and abet a client in breaking the law. But sometimes the situation isn't so clear-cut.
How to Take Over a $1 Billion Practice
The anatomy of a high-stakes Morgan Stanley practice acquisition.
The Evolving Idea of Retirement
History provides perspective for making retirement decisions today, Michael Finke writes.
Strategizing Like a Statesman
It's not that often that the private sector turns to the political arena for inspiration. But there's one remarkable political skill that businesses should note.