Brokers, CFA charterholders, and fiduciary duty: Charterholders are not always fiduciaries
CFA charterholders have strong feelings about fiduciary duty. This showed up in responses to my blog post on ” ‘CFA credential implies a standard of care not always upheld,’ says Forbes opinion piece,” which discussed brokers and fiduciary duty. So I’m happy to see that the CFA Institute has addressed this topic in “What’s a […]
Poll: Is the SEC’s plain language requirement for Form ADV Part 2 a good idea?
SEC-registered advisors must rewrite Part 2 of their Form ADV using plain language. The requirement takes effect in 2011. You won’t be surprised to learn that I favor plain language, but I’m curious to know what you think of the new requirement. Please answer the poll in the right-hand column of my blog, asking “What […]
Reader challenge: What’s the writing lesson from Physicians Mutual?
You’re getting smarter about writing investment and financial communications, so I’m giving you a challenge: watch this video and then tell me what lesson it teaches writers. I look forward to hearing from you!
Do the robin, the reindeer, and the building sing the same song?
Your title, headings, and topics should all send the same message when you write a financial blog post, article, or white paper. I think of this metaphorically as “singing the same song.” The sign that you in the photo made me think about the importance of “singing the same song.” Looking at the photo, can […]
LinkedIn’s fatal flaw for financial advisor compliance
LinkedIn has a whopping flaw for advisors who’d like to keep their compliance officers 100% happy, and there’s no solution in sight. At least, not to my knowledge. The problem is records retention, which is at the heart of conservative management of compliance risks from advisor communications. Much of what you post to LinkedIn can […]