Weekend Studying For Monetary Planners (June 17-18)
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Benefit from the present installment of “Weekend Studying For Monetary Planners” – this week’s version kicks off with the information that the SEC issued a danger alert highlighting areas of elevated focus concerning its new advertising and marketing rule for upcoming examinations, together with whether or not there may be clear disclosure of whether or not the particular person giving a testimonial or endorsement is a shopper or investor, if the promoter has been paid, and if there are materials conflicts of curiosity. Amongst different highlighted areas of curiosity, the regulator additionally flagged whether or not sure “ineligible individuals” have been compensated for testimonials or endorsements and advisors’ use of third-party scores in ads.
Additionally in business information this week:
- A latest survey means that whereas people who work with monetary advisors discover them to be helpful, those that haven’t labored with an advisor earlier than don’t essentially perceive the worth an advisor can present
- The SEC is contemplating a brand new rule concerning advisers’ use of Synthetic Intelligence instruments, whereas the Division of Labor stated it’s planning to launch the most recent proposed replace to its ‘fiduciary rule’ in August
From there, we now have a number of articles on investments:
- How advisors can add worth for shoppers by evaluating the potential dangers and advantages of investing in non-public credit score funds
- Why larger rates of interest may change the calculus for advisors for allocating shopper belongings to cash-like devices
- How efficiency information counsel that lower-cost bond funds are likely to carry out higher and are much less unstable than their pricier counterparts
We even have numerous articles on advisor charges:
- Whereas charging based mostly on Property Underneath Administration (AUM) stays the most well-liked price mannequin, many advisors wish to retainers and different price fashions to diversify their income stream and attain extra potential shoppers
- How advisors may also help their shoppers save on taxes by strategically taking charges from shopper accounts in a tax-efficient method
- Why improved advisor service ranges and the broader inflationary atmosphere may make now a superb time for corporations to contemplate elevating their charges
We wrap up with 3 closing articles, all about taking breaks:
- Finest practices for a way usually to take breaks in the course of the workday and what to do throughout them to advertise focus and creativity
- How advisors can construction their day by day calendars to construct in breaks and improve their productiveness
- How managers can play an vital function in creating an workplace tradition the place breaks in the course of the day are usually not solely accepted, however inspired
Benefit from the ‘gentle’ studying!
Learn Extra…
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