Client Outreach
The latest news and advice about successful client communications, including the best methods and strategies for financial advisors.
Voya to Pay $3.1M for Not Disclosing Payments Tied to Fund Sales
By Janet LevauxThe advisor group will pay penalties for failing to tell clients about revenue collected from a third-party BD, the SEC said.
March 07, 2017
What HNWs Want That Advisors Aren't DoingA new CFA Institute study highlights steps advisors can take to close the gap between what they offer and what HNW clients want.
March 03, 2017
3 Key Tax Rules Governing Typical Business DeductionsTax Facts online experts explain what a business expense deduction is specifically and how to use it to your advantage.
March 02, 2017
Securities America to Pay $1M Over Sales of MedCap NotesEarlier, the IBD agreed to give some $2.8 million to some 60 investors who lost millions as the firm went into default.
March 02, 2017
SEC Easing of 'Accredited Investor' Restrictions: The BenefitsPermitting people of modest means to make their own investment decisions may be too radical for Congress or the SEC.
March 01, 2017
Buffett Backlash: Fund Execs Criticize Sage’s Grim View of Active InvestingPassive index funds are not necessarily the best investments for all investors at all stages of their lives, some fund professionals argue.
March 01, 2017
FINRA Bars Rep for $15M of ‘Unsuitable Trades’ in Retiree AccountThe client was a longtime Colgate-Palmolive employee who lost dividends and paid $375,000 in markups and other fees.
March 01, 2017
Wells Fargo Pulls Bonuses, Claws Back Top Exec AwardsBogus-account scandal costs eight leaders pay, equity awards; CEO Tim Sloan, CFO John Shrewsberry among those affected.