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  • Client education
    Retirement rethink
    As investors near retirement age, many are starting to realise they have not enough to fund the retirement they envisaged. Furthermore, the financial crisis has drawn a line...
    by David Greenslade

    The current world economic crisis has caused a massive destruction of wealth, and there is barely an investor who is immune. There are...
  • Advice to advisers
    Selecting the correct types of financial service when registering on the Financial Service Providers Register (FSPR)
    From 1 April 2011 if you are an individual financial adviser providing financial service, you MUST be registered on the Financial Service Providers Register (FSP Register)...
    The Financial Service Providers (Registration and Dispute Resolution) Act 2008 (FSP Act 2008) requires all persons (both individuals and entities) in the business of...
  • Simplifying the Disclosure Statement Process
    A quick count at the beginning of the month indicated that between the Strategi compliance reviews and the Strategi Institute Standard Set C assessments, plus case study...
    Our analysis indicates  a sizeable number of AFAs are unnecessarily complicating their Disclosure Statements and turning what in theory should be a straightforward...
  • Adviser communications
    Social media - an adviser's double-edged sword
    Social media sites such as Twitter, Facebook and Linked- In, are growing in popularity and industry commentators are suggesting financial advisers should embrace the use of...
    Strategi recently undertook an analysis of this media from a financial adviser compliance perspective and the results were alarming (based upon those sites where access...
  • Standard Conditions for Authorised Financial Advisers
    Have you recently read your Standard Conditions for Authorised Financial Advisers? This is an important document that all AFAs must abide by.
    Advisers who are AFAs are required to comply with their terms and conditions of authorisation under Section 45 of the Financial Advisers Act 2008. The terms...
  • Best practice reviews provide helpful tips
    Strategi best practice reviews provide helpful tips
    Strategi has summarised below the key findings from best practice compliance reviews over the past 6 months. These findings provide helpful tips on improving adviser...
    Strategi conducts best practice compliance reviews for hundreds of financial advisers annually. This enables it to see the best and the worst of processes and advice. The...
  • Strategi releases Key Financial Data for 2013/14
    ‘Key Financial Data 2013’ is a four-page aide memoire enabling financial advisers, lawyers and accountants to have at their finger tips, a crib sheet that...
    This can be distributed free to advisers and staff within a business or for a small fee, it can be rebranded to the business and permission provided for dissemination to...
  • Supervising trainee advisers
    The days of taking on a new adviser and giving them your ‘C’ clients and telling them “go and contact this list and see what you can do with it” are...
    The Standard Conditions for Authorised Financial Advisers (Condition 6) states the following:

    "Where the AFA is responsible for supervising trainee...
  • Finology
    Technology and building client trust will drive business change
    How to rebuild client trust and how to adapt a financial planning business to the internet age were the two key themes at the recent USA Financial Planning Association (FPA)...
    Presenters from Harvard, Yale, MIT and a host of other top universities gave their insights into how consumers now regard financial advisers and how technology is changing...
  • The consumer revolution and how it affects financial advisers
    There is no doubt that we are in the midst of the biggest paradigm shift in business since the Industrial Revolution. We are in the golden age of the consumer. Never in the...
    Not only are more and more experiences being uniquely created to each person's individual needs, but it is being done at a fraction of the price and with measurably...
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