article thumbnail

SEC Fines Firms $81M For Off-Channel Communications Lapses

Wealth Management

mirror other allegations concerning retaining electronic communications. The settlements with Northwestern Mutual, Guggenheim and Oppenheimer & Co.

article thumbnail

Why you may not be communicating well with HNW clients

Million Dollar Round Table (MDRT)

How many advisors communicate is uninspiring, offering clients financial plans that look like instruction manuals or, worse, spreadsheets. Average advisors communicate from the clearest thing to the blurriest thing. Hicks, CIM Do top financial advisors have better technology, products or services than average advisors?

Insiders

Sign Up for our Newsletter

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

article thumbnail

Wednesday links: expert communicators

Abnormal Returns

Strategy Better investing comes from better decision making. ritholtz.com) Quant strategies are not free from human input. blog.validea.com) The only way to learn about investing is actually putting money on the line. flyoverstocks.com) Expertise does not shield you from failure. portfoliocharts.com) Finance Zero-day options are coming to Europe.

article thumbnail

FINRA: 'Persistent' Noncompliance on Crypto Communications

Wealth Management

Preliminary results from a targeted exam indicated communications related to crypto asset securities products and services had four times the non-compliance rate of other kinds of products.

article thumbnail

How to Create an Employer Brand That Attracts the Best Global Talent

What are the most effective ways to communicate your employer brand? This article will answer these critical questions: Why is it important for companies to focus on their brand? How does employer branding help attract and retain top global talent? Which are the most effective employer branding strategies?

article thumbnail

Addressing Communication Breakdowns: 5 Common Communication Challenges Financial Advisors Face Today

Don Connelly & Associates

We spend a lot of time and space here harping on the importance of client communications because, more than anything else you do in this business, it can make or break you. We’ve discussed that 72% of clients who fire their financial advisors do so due to poor communication.

article thumbnail

Communicate (The Necessity Of) Fee Increases With A Client-Centric, Value-Based Approach

Nerd's Eye View

A better way to implement and communicate fee increases may be one that is centered around providing more value to the client in exchange for the higher fee.

article thumbnail

The Blueprint for a Customer-Centric Digital Lending Experience

Traub even dives into communication styles, teamwork, and how to best operate along the way. Discover how to utilize new technology without alienating existing customers, what to emphasize when working on your platform, and how to utilize the data at your disposal while not becoming overly reliant on it.

article thumbnail

Attract Top Talent with 2022's Global Workforce Trends Report

What communication approaches can help increase innovation. This new era of work requires more diligence than ever before — and being aware of the upcoming workforce trends will help companies boost retention and attract top global talent. This eBook offers insight into: How hybrid working impacts leaders and employees. Download today!