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Plan for Success: Advisor Compensation Research
The latest in Advisor Compensation Research As advisor compensation models continue to evolve it's critical to stay abreast of the current trends. The Kehrer Bielan 2018 Advisor Compensation Study consists of an analysis of trends in the structure and payouts for...
Talent Retention: 5 Best Practices to Retain Top-performing Advisors
Talent retention remains a significant challenge for investment firms — some lose a financial advisor as soon as a new one is recruited. By focusing on advisor engagement and satisfaction, firms can prevent their top-performing advisors from jumping ship to another...
3 Reasons to Focus on Financial Advisor Job Satisfaction
Discover How Satisfied and Engaged Financial Advisors Will Boost Your Firm’s Bottom LineNumerous studies show that an engaged workforce translates to a higher bottom line. This is no different for financial advisors — sales performance management is more than...
FINRA’s 529 Initiative: Finding the Needle in the Haystack
Background In January of this year, FINRA launched an initiative to curb the sales of high cost 529 plan funds to investors. Specifically, they are reviewing the share classes recommended to these investors and if these recommendations met the suitability standard...
Ensuring Compliance with FINRA’s Trusted Contact Rule
Trusted Contact Rules In 2018 FINRA introduced the trusted contact rule. It requires that broker-dealer firms make reasonable efforts to identify a “trusted contact,” a person to contact if the firm has a concern that the client is incapacitated or is the target of a...
DOL Fiduciary Rule Compliance
Is your firm prepared to meet the new Department of Labor fiduciary standards? DOL Compliance Benjamin Franklin’s axiom that “an ounce of prevention is worth a pound of cure” rings true today for those working in the financial industry. Terrapin is actively working...