Welcome to the first edition of Market Conduct & Suitability, our new enewsletter designed to provide you with the tools and information you need to “do the right thing” in your practice. As a subscriber to Senior Market Advisor‘s new Market Conduct & Suitability, you’ll receive this eNewsletter monthly. To ensure it’s delivered to your inbox (and not spam), please make sure to add us to your safe senders list now. Click here for instructions.
The financial world is changing, becoming more complex to navigate, and holds increasing scrutiny from regulatory bodies. Our goal with this monthly newsletter is to provide advisors with a road map to bulletproof their practice.
Each issue will feature a question and answer session with an industry expert. This initial interview is with Craig Randall of Randall Marketing Group and 2007 Senior Market Advisor’s Advisor of the Year. As Randall says: “State regulators are getting so tough… you have to bullet proof your practice.”
Because of this “tougher” environment, you might notice a “tough love” approach at times in this newsletter. An ongoing part of the newsletter will be the National Ethics Bureau’s column containing real life examples of advisors stepping outside the line of compliance.