Client Outreach
The latest news and advice about successful client communications, including the best methods and strategies for financial advisors.
Morningstar to Tackle Hottest ETF Topics at Conference
By Bernice NapachAmong the topics where Morningstar wants to "rethink conventional wisdom" are active share, strategic beta, 401(k) mistakes and hedging currency exposure.
September 23, 2015
NASAA: States Doled Out $579M in Enforcement Penalties in 2014Private placement offerings, real estate investments and crowdfunding were ripe areas for fraud, state securities regulators reported.
September 22, 2015
SEC Censures, Fines St. Louis Advisor Firm for Lax Cybersecurity PoliciesA firm that "failed entirely" to protect thousands of clients' data from a cyberattack will pay a $75,000 fine.
September 21, 2015
SEC Fines First Eagle, Affiliate $40 Million for Improperly Charging ShareholdersThe firms used shareholder money instead of 12b-1 fees to pay for fund distribution, the SEC said. Similar enforcement actions could be in the offing.
September 18, 2015
How to Profit From Falling Commodity PricesThere are a variety of strategies for bear bets against commodity prices, some riskier than others.
September 18, 2015
Top Portfolio Products: New ETFs From State Street and DirexionHedge your currency risk or double down on a leveraged sector stock bet? That's what some of this week's new portfolio products offer.
September 18, 2015
What Retiring Clients Need From Advisors (That Robos Don’t Do)Clients and prospects need help planning for rising health care costs and dealing with Social Security issues, HealthView's Ron Mastrogiovanni says at RIIA event.
September 17, 2015
Advisors Downplay Fed’s Interest Rate DecisionToo much emphasis is being placed on the significance of this event, one advisor said as the FOMC announced it was keeping rates unchanged.