by ext | Aug 19, 2016 | Blog, Study Tips
5 ways study groups can improve your exam success There’s nothing like the memory of late-night study sessions to send shivers down the spines of adults continuing their professional development. But studying doesn’t have to be the challenge that it once was. One way...
by ext | Aug 19, 2016 | Blog, Industry Insights
Point of sale: Fund Facts must be delivered before purchase On May 30, 2016, it became mandatory for advisors to deliver the Fund Facts document to clients before they purchase a mutual fund. Let’s explore the content of Fund Facts, how advisors must deliver it and...
by ext | Aug 19, 2016 | Blog, Industry Insights
Working with an advisor helps investors reach their financial goals Many advisors enter their profession because they know they can make a meaningful impact on the lives of clients and their clients’ family members. Advisors gain satisfaction from helping clients...
by ext | Aug 19, 2016 | Blog, Industry Insights
The “ACBs” of the investment industry – Part I Most people who are getting started in the investment funds industry are struck by the incredible number of confusing acronyms their coworkers tend to casually throw into conversation each day. It’s really quite...
by ext | Aug 16, 2016 | Blog, Industry Insights
Know your client rules: Protecting investors and advisors As an advisor, before you can give financial advice or sell financial products, you have to learn several things about your clients. This is called the Know Your Client (KYC) rule, and it protects investors by...
