Best Practices for Financial Advisors
A guide to the most successful business practices used and proven by top financial advisors. Best Practices for FInancial Advisors covers getting registered, regulations and enforcement, fiduciary duties, conflicts of interest, working with clients-and the best practices in education and training, determining suitability, disclosure, due diligence, and advertising. Based on interviews with the best in the business.
Beyond compliance: A guide to the most successful business
practices used and proven by top financial advisors. The book covers
getting registered; regulations and enforcement; fiduciary duties;
conflicts of interest; working with clients-and the best practices in
education and training; determining suitability; disclosure; due
diligence; and advertising. Based on interviews with the best in the
business.
Hardback, 336 Pages, Dimensions 107 x 199 MM Language English.
Mary Rowland has been covering business and investing news for more than twenty-five years. She wrote a monthly column for financial planners in Wealth Manager magazine. For six years, she was the personal finance columnist for the Sunday New York Times. Her articles have also appeared in Fortune, Business Week, Money, Ladies' Home Journal, and many other publications. She is the author of four books and speaks frequently to business and consumer groups and financial advisers.