New KYP requirements put the spotlight on firm and advisor product knowledge
High trading volumes are making life difficult for quants and active managers
Clients may prefer communicating via texts, but be careful about the information you exchange
Tips for refocusing and reframing after a tumultuous year
Your client is a couple years away from retirement and just lost their job. Now what?
Comment letters to the CSA proposal lay out risks to the client-advisor relationship
Will the outlook change when federal subsidies end?
The CSA framework is an important first step, but more details are required, writes the vice president of IIAC
CFA Institute survey details the factors that can help advisors build better relationships
Studies show investors are largely satisfied with the advice they receive