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Good Business: More Tips for Lowering Your E&O Risk, Part 4
This article (Part 4) provides 20 more quick pointers for lowering errors and omissions risk by adopting ethical values and business practices. Watch for the fifth and final installment next month. -
THE TRUTH: The Ultimate Standard for Preventing Client Problems (Part 1)
The truth is becoming a rare commodity in business these days. In fact, misrepresentation and fraud in financial services is a symptom of a larger pattern of deceit in every corner of American life. Consider these facts: Forty percent of Americans think it’s OK to lie (Ipsos survey, 2006). People... -
Good Business: 20 More Tips for Lowering Your E&O Risk
By the National Ethics Association As a financial advisor, you’ve no doubt read a compliance manual or three in your time. These documents are typically rule-driven, which means they can be long and dense to work with. The good news: You can also lower your errors-and-omissions insurance risk by adopting... -
20 More Quick Tips for Lowering Your E&O Risk in 2014
Good news: You can also lower your errors-and-omissions insurance risk by adopting ethical values and business practices. This article (Part 2) provides 20 more quick pointers for doing just that. Watch for more parts in the coming weeks. -
Avoid Fear-Based Selling to Reduce Buyer’s Remorse and Complaints
Many agents spread lies about Social Security, Medicare, or FDIC insurance in order to move prospects from CDs into annuities. -
Top 20 Ways to Lower Your E&O Risk in 2014
As a financial advisor, you’ve no doubt read a compliance manual or three in your time. These documents are typically rule-driven, which means they can be long and dense to work with. The good news: You can also lower your errors-and-omissions insurance risk by adopting ethical values and business practices.... -
Don’t Let Bad Bosses Create E&O Nightmares, Part 2
“Gray hat” bosses, i.e., people who may not ask you to break the law or do anything grossly unethical, but who urge you to bend the rules? Yes, “gray hatters” can be challenging. -
Don’t Let Bad Bosses Create E&O Nightmares, Part 1
All bosses either wear white hats (play totally by the book), black hats (burn the book if it impedes sales), or gray hats (read only those pages that fit their purposes). -
Unethical Competitors: Time to Remove the E&O Threat?
Is it time to blow the whistle? Perhaps, but don’t do so without thinking through the consequences. One is potentially attracting regulator scrutiny by stepping forward. Such is our distrust of government institutions these days that many people would rather ignore wrongdoing than risk making themselves known to authorities. -
Partner with Care: Avoid Weak Links to Prevent E&O Lawsuits
One of the best ways to avoid e&o lawsuits is to protect your business by being selective in who you partner with. A recent Congress hearing give examples of how to avoid the weakest partner organizations.