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    June 9, 2016 DOL Requirements [Questions & Answers]

    by FIG Marketing June 26, 2017
    written by FIG Marketing

    This month’s Compliance Corner blog entry will focus on frequently asked questions we are receiving considering the June 9, 2017 implementation of DOL’s fiduciary rule, specifically at it relates to PTE 84-24 and business submitted.

    June 9 came and went without the sky falling, as some had predicted. I’m not suggesting that things didn’t change in our industry, but business did not come to a grinding halt. We find ourselves in a new environment where the DOL’s Impartial Conduct Standards rules the day. While we generally operated in the spirit of the Impartial Conducts Standards anyway, the primary requirement that came of the June 9th implementation boiled down to one new document, the Disclosure Statement.

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    June 26, 2017
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  • Business Development

    Use STAR Questions for Hiring Interviews [How to Find the Ideal Job Candidate]

    by Tom Lamendola June 22, 2017
    by Tom Lamendola June 22, 2017

    During my first real job interview, immediately after college I was asked a series of interview questions for a recruiting and sales position. The meeting was with the owner of the franchise …

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  • Marketing + Branding

    Customer Service Tips for Financial Advisors [And How They Impact Your Business]

    by J. Wesley Knowles June 15, 2017
    by J. Wesley Knowles June 15, 2017

    Is customer service and our level of engagement with the client important to the success of a practice? On a recent vacation, a trip to Walt Disney World Resort, I learned first-hand …

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FIG Marketing
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