A practical view: understanding and serving the older client

Article Abstract:

The author presents information for investments advisors to consider when serving older clients, including being informed about non-financial products, using a team approach, familiarity with underwriters, and developing trust with the clients.

author: George, Linda K.
Publisher: Society of Financial Service Professionals
Publication Name: Journal of Financial Service Professionals
Subject: Business
ISSN: 1537-1816
Year: 1999
Aged, Elderly, Management, Financial services industry, Financial services, Investments

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The legal, regulatory, and compliance-related implications of using soft-dollar arrangements

Article Abstract:

The author discusses regulations regarding the use of soft-dollar arrangements, the use of brokerage commissions to fund brokerage services, by investment advisors so as to avoid breaches of fiduciary duties to clients.

author: Kelvin, Jeffrey B.
Publisher: Society of Financial Service Professionals
Publication Name: Journal of Financial Service Professionals
Subject: Business
ISSN: 1537-1816
Year: 2001
Usage, Fiduciary duties, Commissions (Compensation), Commissions (Fees)

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Estate tax law changes: more sales opportunities for financial advisers

Article Abstract:

The author discusses sales opportunities which may develop for financial advisers following 2001 estate tax law changes.

author: Graff, Hal
Publisher: Society of Financial Service Professionals
Publication Name: Journal of Financial Service Professionals
Subject: Business
ISSN: 1537-1816
Year: 2001
Marketing, Estate tax, Estate taxes

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subjects list: United States, Investment advisers, Laws, regulations and rules