Practice

Sometimes it's the little things that make all the difference. If you’re like most financial advisors, you are ultra-busy serving your clients and generating new business. But have you handled the marketing fundamentals? Columnist and marketing expert Marie Swift delves into two marketing fundamentals that should not be ignored: the power bio and the prospect profile. Ignore them and suffer the consequences.

For the second time in two years, the watchdog for broker-dealers is warning traders they are obligated to send clients accurate indications of interest.

Even with proposed regulation to the financial advisory industry still pending, several industry members at this week's Women Advisors Forum conference were certain about two things: the SEC should have expanded oversight and the industry will bear more costs.

Man Investments has launched the Man Long Short Fund, an equity hedge fund-of-fund that will invest in up to 30 portfolios and offer monthly liquidity.

John Hancock Financial Network has launched a turnkey retirement income program for financial advisors that includes a web-based product allocation analysis tool, multi-media educational and sales materials and dedicated support.

The “smoking guns” were dropped in a Chicago river. Only the “guns” were not guns. They were hard drives. And the suspect is not a gangster, a la Al Capone. Instead, it is a programmer and former employee of Citadel, the computer-driven hedge fund in the Windy City.

Direct Edge has been sanctioned for weak internal controls that led to millions of dollars in trading losses and a systems outage.

John Hancock Financial Network has launched a turnkey retirement income program for financial advisers that includes a web-based product allocation analysis tool, multi-media educational and sales materials and dedicated support.

Although Edward Jones recommends that retirees start with a plan to withdraw 4% of their retirement savings each year, Americans have a widely varying idea of how much they will need, the investment firm found in a survey of 1,011 people.

Although Edward Jones recommends that retirees start with a plan to withdraw 4% of their retirement savings each year, Americans have a widely varying idea of how much they will need, the investment firm found in a survey of 1,011 people.