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Benefit from the present installment of “Weekend Studying For Monetary Planners” – this week’s version kicks off with the information that the SEC issued a threat alert highlighting areas of elevated focus relating to its new advertising rule for upcoming examinations, together with whether or not there may be clear disclosure of whether or not the particular person giving a testimonial or endorsement is a shopper or investor, if the promoter has been paid, and if there are materials conflicts of curiosity. Amongst different highlighted areas of curiosity, the regulator additionally flagged whether or not sure “ineligible individuals” have been compensated for testimonials or endorsements and advisors’ use of third-party scores in commercials.
Additionally in trade information this week:
- A current survey means that whereas people who work with monetary advisors discover them to be helpful, those that haven’t labored with an advisor earlier than don’t essentially perceive the worth an advisor can present
- The SEC is contemplating a brand new rule relating to advisers’ use of Synthetic Intelligence instruments, whereas the Division of Labor stated it’s planning to launch the newest proposed replace to its ‘fiduciary rule’ in August
From there, we now have a number of articles on investments:
- How advisors can add worth for purchasers by evaluating the potential dangers and advantages of investing in non-public credit score funds
- Why larger rates of interest might change the calculus for advisors for allocating shopper belongings to cash-like devices
- How efficiency knowledge recommend that lower-cost bond funds are likely to carry out higher and are much less unstable than their pricier counterparts
We even have various articles on advisor charges:
- Whereas charging based mostly on Belongings Underneath Administration (AUM) stays the preferred payment mannequin, many advisors want to retainers and different payment fashions to diversify their income stream and attain extra potential purchasers
- How advisors can assist their purchasers save on taxes by strategically taking charges from shopper accounts in a tax-efficient method
- Why improved advisor service ranges and the broader inflationary surroundings might make now time for companies to think about elevating their charges
We wrap up with 3 last articles, all about taking breaks:
- Greatest practices for the way usually to take breaks throughout the workday and what to do throughout them to advertise focus and creativity
- How advisors can construction their every day calendars to construct in breaks and improve their productiveness
- How managers can play an essential function in creating an workplace tradition the place breaks throughout the day are usually not solely accepted, however inspired
Benefit from the ‘mild’ studying!
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