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Join the Investment Advisor Insurance Resource Group on |
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Join the Investment Advisor Insurance Resource Group on |
NAPLIA has developed a universal "Fiduciary Acknowledgement Form" to assist you in informing your clients about the benefits and value of Fiduciary Insurance. This is not only a benefit to your clients, but a practical Risk Management Practice for your firm.
Gaining new clients, and maintaining your existing clients, is obviously a priority in growing your practice. Don't overlook the value of using your Insurance in your marketing efforts. Learn how and about NAPLIA's exclusive Confirmation of Insurance.
Select Advisors are starting to promote themselves as ERISA 3 (38) Investment Mangers. Understand the confusion and risk involved through an exclusive CFDD conference session.
The CFDD's October 6-8, 2010 Advisor Conference at the downtown Chicago Fairmont Hotel, New Age Marketing, is an all business event designed to help retirement plan advisors adapt to a rapidly changing environment, stay relevant and grow their business. Learn more and about the Special Offer to NAPLIA clients.
NAPLIA's Compliance Partners are recognized as an elite group of professionals who have a special relationship with our agency, obtained through the demonstration of superior product knowledge and expertise in the Wealth Adviser industry.
Americans are increasingly using social media Web sites, such as blogs and social networking sites, for business and personal communications. Firms have asked FINRA staff how the FINRA rules governing communications with the public apply to social media sites that are sponsored by a firm or its registered representatives. This Notice provides guidance to firms regarding these issues.
Review and update investment plans strategies and risk tolerance guidelines with the client(s). Make sure to listen, document and communicate your efforts on their behalf.
- What is the best way to determine if my current policy provides adequate coverage?
- Do I need “Fiduciary Insurance”?
- How do I obtain an ERISA bond for one of my clients 401K plans?
NAPLIA regularly features leaders in the Financial Industry that we are pleased to be associated with.