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  1. THE TRUTH: The Ultimate Standard for Preventing Client Problems (Part 1)

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    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...
  2. Good Business: 20 More Tips for Lowering Your E&O Risk

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    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...
  3. Top 20 Ways to Lower Your E&O Risk in 2014

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    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....
  4. Unethical Competitors: Time to Remove the E&O Threat?

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    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.

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