Remove Compliance Remove Ethics Remove Sales
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Unlock Success with a Financial Marketing Consultant

Midstream Marketing

They know that their marketing strategies work well and they follow important ethical and legal rules. This leads to more sales and better returns on investment (ROI). Email Marketing: Build relationships and increase sales through targeted email campaigns. They have a variety of financial products and services.

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RIA Code Of Ethics: Important Nuances To Note In Relatively Straightforward Requirements

Nerd's Eye View

All investment advisers are fiduciaries that owe a duty of care and loyalty to their clients, and, in an ideal world, advisory firms and their staff would abide by these requirements without the need for a prescriptive code of ethics.

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Weekend Reading For Financial Planners (June 1-2)

Nerd's Eye View

House of Representatives and is now being considered in the Senate would increase the number of firms classified as “small entities” and would require the SEC to assess the impact of proposed regulation on this newly enlarged class of investment advisers (which tend to have fewer compliance staff and resources available compared to larger (..)

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How to sniff out a lying grifter in a Form ADV

Sara Grillo

Salaske, Chief Executive Officer and Chief Compliance Officer is Firstmetric’s principal owner and is the sole Member and Manager of Firstmetric, LLC.” Ethics matter. Here are some examples of things Ethical Financial Advisors do. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

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Don’t be tricked by 8% eternal Universal Life Insurance Interest Rates!

Sara Grillo

Actuarial Guideline 49 of 2015, via the National Association of Insurance Commissioners (NAIC) sought to cap, or limit the highly unlikely, aggressive illustrations used in the sales software prior to 2015. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

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Why useless financial advisor rankings lists should be put to rest!

Sara Grillo

Or, advisors who hustle and sell aggressively, push products to meet sales quotas, all the while neglecting their clients that they already “sold” – those are the people who may rank high by this metric. What about ethics? I have several issues with the methodology, namely: The advisor must have an “acceptable compliance record.”

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What does it mean to be a Fee-Only financial advisor?

Walkner Condon Financial Advisors

Fee-Only financial advisors and firms receive no sales-related compensation or incentives. Additionally, CFPs must adhere to ethical and professional standards, including a fiduciary duty to act in the best interests of their clients. They are compensated only by the fee the client pays.