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 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...
by ext | Aug 9, 2016 | Blog, Careers, Industry Insights
Much like any career, the financial advisor juggles a number of different tasks and responsibilities each day. That said (and with help from some financial advisors and Investopedia), we’ve put together a list of some of the main activities a financial advisor can...
by ext | Aug 2, 2016 | Blog, Industry Insights, Regulatory
How does one weigh returns? Recent regulatory changes are going to dramatically impact how individuals view their investment returns. Learn what you need to know and when you need to know it. By the time you read this message, the rollout of Client Relationship Model...
