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Portfolio > ETFs > Broad Market

Welcome to Market Conduct & Suitability

By Daniel Williams

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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.

While it’s widely accepted that only a few bad apples exist within the industry, the key point is, they do exist and Steve McCarty of the National Ethics Bureau explained to me in a phone interview earlier this week that the mission here is to steer advisors clear of the landmines by showing them “what not to do.”

Also included in each newsletter will be recent industry news and tidbits that touch on market conduct and suitability as well as links to recent stories we’ve posted online at www.seniormarketadvisor.com.

Ultimately, your input will help drive the success of this newsletter. Contact me at [email protected] if you would like to contribute or if you have thoughts or ideas you’d like to share with me about market conduct and suitability.

I look forward to hearing from you.

NOT FOR REPRINT

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