What’s Wrong With Finra’s Proposed Rule for Preventing Elder Abuse?

What’s Wrong With Finra’s Proposed Rule for Preventing Elder Abuse?

What’s Wrong With Finra’s Proposed Rule for Preventing Elder Abuse? Finra, the SEC and NASAA have all been in discussion for years about increasing protection of senior investors. There is a move to create such protection by requiring that financial...
Do You Understand Whether Your Client Has Financial Decision-Making Capacity? Or Not?

Do You Understand Whether Your Client Has Financial Decision-Making Capacity? Or Not?

Capacity and competency are terms loosely thrown around these days. How can you tell if your client has financial capacity? This kind of capacity is the most complex and requires intact judgment. You must have a good working knowledge of it or you could come under...
Is There A Sure Way To Tell If Your Client Has Diminished Capacity?

Is There A Sure Way To Tell If Your Client Has Diminished Capacity?

Diminished capacity is sort of a catchall term that can mean different things. A person can have the capacity, for example to create a will or a trust, but at the same time that person might not have the capacity to understand the risks of buying a complex financial...
Best Practices For Success With Family Meetings – CFP Approved Course

Best Practices For Success With Family Meetings – CFP Approved Course

“Best Practices For Success With Family Meetings” Register Now • More Information The family meeting is the bedrock of a successful intergenerational wealth transfer.  But how does the financial professional conduct these? What are the right ways and wrong ways to go...

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