In 2004, the SEC significantly strengthened the compliance responsibilities of investment advisers when Rule 206(4)-7 (also known as the “Compliance Rule”) went into effect, requiring them to adopt and implement written compliance policies and procedures, review such policies and procedures annually, and designate a Chief Compliance Office to administer such policies and procedures. However, this […]
Archives for October 2023
Rugby star Wilkinson joins Financial Planning firm
Former England World Cup rugby hero Jonny Wilkinson has joined fast-growing national Chartered Financial Planning firm Attivo as a ‘lifestyle ambassador.’ He will coach the Attivo team on how to have the best and most open conversations with clients. He will also share video content with Attivo clients to help them explore what matters most […]
Steward Partners to ramp up M&A, aiming for $1B in revenue
The CEO of the 10-year-old hybrid RIA sees opportunity ahead to scoop up smaller practices in a tougher environment for buyers.
From then till now: Harnessing computer expertise to help businesses
Michaela Draper is a solution-focused business analyst based in New Zealand. With decades of project management, process mapping, data analysis, and consulting experience spanning banking, government and the private sector, Michaela is now focused on helping small businesses set up affordable and simple-to-use accounting systems. We recently sat down with Michaela to hear her career […]
#FA Success Ep 354: Making Advisor Transitions Less Scary With Effective Transition Preparation And Support Services, With Grier Rubeling
Welcome everyone! Welcome to the 354th episode of the Financial Advisor Success Podcast! My guest on today’s podcast is Grier Rubeling. Grier is the founder of Advisor Transition Services, a consulting firm based in Cary, North Carolina, that helps advisors switch from one broker-dealer or custodian platform to another, often when breaking away from a […]
How to roster your staff effectively
If you’ve got staff on the payroll – especially a revolving roster of casual and part-time staff – rostering effectively is not only essential but could be the difference between your overall business success…or failure. If you don’t get your rostering right, you might have nobody running your business when it counts. But that’s just […]
The single client record is coming: here’s what your practice needs to know
*Please note that while the process remains the same, all references to Xero Tax are applicable to Australia and New Zealand only. One of the most important ways we’re helping you save time and grow your practice is by moving towards a future where Xero Practice Manager (XPM), Xero HQ and Xero Tax will be […]
Planning for the road ahead: Key insights from the NZ ‘State of the industry’ report 2023
We are pleased to share the key findings from our study of the accounting and bookkeeping sector in Aotearoa New Zealand. The State of the industry report 2023 is the first of its kind in Aotearoa New Zealand and benchmarks the industry, highlighting key trends, challenges, and opportunities faced by accounting and bookkeeping professionals. Despite […]
Managing Outsourcing Of SEO (Search Engine Optimization) For A Financial Advisor
When deciding on a marketing strategy to pursue, one of the key factors for financial advisory firms to consider is efficiency. Different strategies have different Client Acquisition Costs (CACs), in terms of both hard-dollar marketing expenses and the cost of the advisor’s time spent on the strategy, and an efficient market strategy is one that […]
ESG investment declines in popularity
The popularity of ESG investing is declining according to the annual ESG Attitudes Tracker from the Association of Investment Companies. However a majority of private investors (53%) still say they consider ESG factors when investing. But that is a notable fall from the 65% of investors who said they considered ESG when investing in 2021 […]