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.
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
Publication Name: Journal of Financial Service Professionals
Subject: Business
ISSN: 1537-1816
Year: 1999
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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.
Publisher: Society of Financial Service Professionals
Publication Name: Journal of Financial Service Professionals
Subject: Business
ISSN: 1537-1816
Year: 2001
Usage, Laws, regulations and rules, Fiduciary duties, Commissions (Compensation), Commissions (Fees)
Publication Name: Journal of Financial Service Professionals
Subject: Business
ISSN: 1537-1816
Year: 2001
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Subjects list: United States, Investment advisers
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