Since the 1970s, the Securities and Exchange Commission (SEC) has prohibited Registered Investment Advisers (RIAs) from using client testimonials in their advertising. While their rules were intended to protect consumers by preventing advisors from showcasing only the best investment results of a few select clients, two major developments in recent years have necessitated reforms of […]
Archives for 2021
Client Testimonials: Leveraging The New SEC-Acceptable Marketing Practices To Connect With New And Existing Clients
Since the 1970s, the Securities and Exchange Commission (SEC) has prohibited Registered Investment Advisers (RIAs) from using client testimonials in their advertising. While their rules were intended to protect consumers by preventing advisors from showcasing only the best investment results of a few select clients, two major developments in recent years have necessitated reforms of […]
Weekend Reading for Financial Planners (Sept 25-26)
Enjoy the current installment of “Weekend Reading For Financial Planners” – this week’s edition kicks off with a look at the recently filed “Petitions For Rulemaking” that XY Planning Network submitted to the SEC regarding the separation of brokers and advisors, which would require brokers offering financial planning services (or delivering financial plans to their […]
Weekend Reading for Financial Planners (Sept 25-26)
Enjoy the current installment of “Weekend Reading For Financial Planners” – this week’s edition kicks off with a look at the recently filed “Petitions For Rulemaking” that XY Planning Network submitted to the SEC regarding the separation of brokers and advisors, which would require brokers offering financial planning services (or delivering financial plans to their […]
Editor’s Column: Life expectancy drop poses new questions
The fall in life expectancy for men, revealed this week by ONS, was perhaps not such a big surprise given that more than 130,000 people have sadly lost their lives to Covid-19 over the past 18 months. Covid-19 is not the only factor in the drop but it is an important one and it may […]
Editor’s Column: Life expectancy drop poses new questions
The fall in life expectancy for men, revealed this week by ONS, was perhaps not such a big surprise given that more than 130,000 people have sadly lost their lives to Covid-19 over the past 18 months. Covid-19 is not the only factor in the drop but it is an important one and it may […]
Well done to our Prize Draw winners
Many congratulations to the readers who took part in our Financial Planning Today Reader Survey and entered the prize draw to win one of 10 £25 Amazon vouchers. The winners have now all been contacted and are listed below. Highlights of the survey can be read in Financial Planning Today Magazine (July-Aug issue). The magazine […]
FOS warns of ‘dramatic’ rise in scam complaints
The Financial Ombudsman Service has reported a “dramatic” 66% rise in fraud and scam complaints in the first quarter of its 2021/22 year. The significant rise has spurred the FOS to issue a public warning about the wave of scams. The number of customers asking the Financial Ombudsman Service for help with fraud and scams […]
FOS warns of ‘dramatic’ rise in scam complaints
The Financial Ombudsman Service has reported a “dramatic” 66% rise in fraud and scam complaints in the first quarter of its 2021/22 year. The significant rise has spurred the FOS to issue a public warning about the wave of scams. The number of customers asking the Financial Ombudsman Service for help with fraud and scams […]
Businesses get more time for HMRC tax changes
Businesses are to get an extra year to prepare for the digitalisation of income tax, HM Revenue and Customs has said. HMRC says it has recognised the challenges faced by many UK businesses and their representatives as the country emerges from the pandemic. As a result of the Covid-19 challenges the government will introduce Making […]