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Investment Advisor February 2008 Thomas D. Giachetti	Is an IPS the Answer? Investment Policy Statements can be helpful, but remember, longer documents aren't always better.
Financial Advisor June 2005 David J. Drucker	Filling The Gaps In E&O For financial advisors, simply remembering to pay your annual E&O (errors & omissions) premium while going about business as usual may give you a false sense of security, not to mention some nasty surprises.
Investment Advisor August 2005 Thomas D. Giachetti	Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.
Financial Planning May 1, 2008 Dave Lindorff	E & Oh, No Errors and omissions insurance is the must-have policy for financial professionals. But many planners don't have it because of a combination of cost and coverage problems.
Investment Advisor July 2006 Thomas D. Giachetti, esq.	Expert's Corner: Passing Muster Is your electronic record keeping up to SEC snuff? Financial advisors should exercise discretion and diligence regarding electronic record retention and communication procedures. When in doubt, retain the hard copy original or make a phone call.
Registered Rep. April 1, 2006 Janet Arrowood	Scary Story In a world where financial lawsuits regularly make headlines, advisors that ignore their E&O coverage do so at great risk to their careers and their pocket books. Legal fees alone can crater a wallet.
Financial Advisor October 2004 Chaplin & Giachetti	Contingency Planning And Rule 206(4)-7 What must a financial advisor do to comply?
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
Investment Advisor August 2006 Thomas D. Giachett	Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process.
Financial Advisor June 2004 Gregory Bresiger	Advisors Are Living Dangerously Professionals continue to grapple with the question of errors and omissions insurance coverage. They believe that it is unnecessary. These uninsured advisors, one insurance executive says, run in the thousands.
Investment Advisor July 2010 Thomas D. Giachetti	The Compliance Coach: An IPS Happy Medium The right and wrong way to build an investment policy statement.
Investment Advisor June 2009 Thomas D. Giachetti	Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures.
Investment Advisor February 1, 2011 Thomas D. Giachetti	2011 Compliance Checklist Ten compliance issues registered advisory firms must consider in the new year.
Registered Rep. February 1, 2003 Jerry L. Reiter	The Blame Game It's hard to say when the targeting of financial advisors for litigation reached its peak -- or whether it has even peaked yet. So how to protect yourself?
Investment Advisor August 2008 Thomas D. Giachetti	The Three Troubling Themes How to combat compliance misunderstanding and misdirection.
Investment Advisor July 1, 2011 Thomas D. Giachetti	Are You Prepared for a Regulatory Exam? Learn the steps you need to take to prepare for a regulatory exam.
Registered Rep. September 1, 2004 Jason Van Steenwyk	E & O and U Since 2001, advisors nationwide have been rocked with increases in professional liability insurance premiums.
Investment Advisor February 2007 Thomas D. Giachetti	When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management.
Investment Advisor March 2006 Robert F. Keane	Safety First No one wants to pay for E&O insurance, but advisors admit it helps them sleep better.
Financial Planning January 1, 2007 Mike Suppappola	Compliance Tips Solicitation agreements have been around for decades. These relationships present myriad compliance issues, and advisors should keep in mind the following regulatory requirements.
Financial Advisor April 2004 David J. Drucker	Living With The Rules How to keep the SEC happy without going out of business.
Investment Advisor December 2007 Thomas D. Giachetti	Use Them, but Carefully By all means, place arbitration clauses in IA contracts, but do it right.
Investment Advisor September 2010 Ray Sclafani	The High-Performance Coach: Ten Ways to Engage Clients Now, Part 1 How top advisors are re-engaging with clients at a tenuous time.
Investment Advisor July 2007 Melanie Waddell	Protect Yourself It's an annoying but necessary task: here's the latest intelligence on how to guard your financial practice from both the regulators and your clients.
Commercial Investment Real Estate May/Jun 2015 Mary Stark-Hood	Liability Solutions Commercial real estate practitioners need to be concerned about liability issues that can result from handling complex transactions. A comprehensive real estate errors and omissions policy is a necessity.
Financial Advisor April 2005 Sydney LeBlanc	Advisor And Manager: A Symbiotic Relationship Trust and respect are essential ingredients in establishing a lasting bond between a financial advisor and investment manager.
Financial Planning October 1, 2006 John E. Gebauer	Your Mailbox Is Full For investment advisors, the regulations for email retention remain murky, but applying some best practices can help.
On Wall Street April 1, 2011 Alan J. Foxman	The Whole Truth Advisor Q&A: Disclosure of conflicts of interest... Clients testimonials as advertising... Advisor representatives and outside business activities... Form ADV on a CD... Qualifications needed on Form ADV...
Financial Advisor July 2004 Tracey Longo	Can Prudent Practices Save Your Business? A new booklet outlines the steps fiduciaries should follow. Ignore the book at your own peril: It's already been used decisively in two lawsuits against advisors.
Investment Advisor November 2007 Thomas D. Giachetti	Confusion and Misinformation Experience has shown us that the presence of hedge clauses will not guarantee that a client will not bring a cause of action against the advisor. When it comes to hedge clauses, specificity is the order of the day.
Registered Rep. April 1, 2005 Matt Oechsli	Appearances Matter Wealthy clients weigh a lot of factors when choosing a financial advisor --- cost of services is one of them, but it is far from the most important.
Financial Advisor May 2011 Daniel Bernstein	The Goldilocks Dilemma The greatest problem with client agreements today is the shortcut approach too many advisors take.
Investment Advisor March 1, 2011 Thomas D. Giachetti	Get Form ADV Right New requirements and changing deadlines could make filing Form ADV a tricky business.
Registered Rep. March 23, 2011 Philip Palaveev	How To Handle An Imploding Broker/Dealer As we watch one independent broker/dealer after another succumb to regulatory action, financial problems or consolidation, many advisors are questioning the security of their very livelihoods.
Financial Advisor June 2008 Grove & Prince	Survival Of The Fittest Whatever plateau your advisory business may have reached, whatever ceiling you might have bumped up against -- now is the time to blast off or blast through.
Investment Advisor June 2007 Thomas D. Giachetti	Look Before Leaping For financial advisors, there are many issues to be reviewed before making a decision to leave your current employer. Experienced counsel should be consulted. Every case has similarities, and every case has differences.
Financial Advisor June 2005 Grove & Prince	Preserving Client Relationships In Down Markets What should financial advisors do when the stock market tanks? Communicate early and often to keep clients happy.
Entrepreneur June 2009 Asheesh Advani	Put Your Advisory Board to Work It's time to rethink the roll of advisors and how they are compensated.
Financial Planning September 1, 2008 John J Bowen Jr	Time to Say Goodbye Today's most successful advisors recognize a simple but powerful fact of business: It's better to work with a small number of great clients than to serve a huge base of clients who are only mediocre.
Investment Advisor April 2010 Ray Sclafani	Demystifying Referrals To build a client acquisition system, break the process down into nuggets.
Financial Planning July 1, 2010 Marie Swift	What Have You Done For Me Lately? Do your clients understand the true value of what you do? Your best defense may be to make sure that you're articulating the value of the various services you perform.
Financial Advisor September 2005 Bruce W. Fraser	Through The Eyes Of Estate Planning Attorneys Attorneys and financial advisors are natural allies in the estate planning process, but if the relationship is not cultivated properly, it can deteriorate quickly.
Entrepreneur February 2007 Jacquelyn Lynn	Apology Accepted E&O insurance can help make up for mistakes.
Financial Planning December 1, 2008 Scott Schutte	Setting Yourself Apart The wave of retiring baby boomers in the coming years will pave the way for advisors who wish to move away from traditional investment management and focus on specialized financial planning and wealth management services.
Financial Planning January 5, 2008 John J. Bowen Jr.	Better Than Average Making a New Year's resolution to improve your practice? A new survey lets you benchmark your performance against the broader advisory community.
Investment Advisor June 2010 Angela Herbers	From Senior to Partner A description of a smooth transition from senior advisor to partner.
On Wall Street November 1, 2009 Thomas Lewis	It's Payback Time on Promissory Notes Firms have been fighting back against defecting advisors. Increasingly one of the most effective weapons in their arsenal is the enforcement of promissory notes.
AskMen.com December 9, 2001 Rashmikant Patel	Trusting Your Advisor Many of us are looking back at our investments over the last couple of years, and blaming our advisors for the less than stellar performance. It all comes down to one issue: do you trust your financial advisor?
Financial Advisor January 2009 Rebecca Pomering	Turning Turbulence Into Growth Turmoil is creating big opportunities.
Investment Advisor June 2010 Angela Herbers	The Fast Track: American Standard Comp tables based on surveys of advisory firms won't help you find the right salary range for your firm if those firms are over- or underpaying.