How transparency-based compliance can help grow your business

The nature of regulation is that either you’ve experienced it or you likely will experience it. In the U.S., months and months of news, discussions and delays regarding the Department...

6 ways to manage changes with clients and staff in the face of regulation

Once upon a time, a prospect might come through one of Daniel K. Charley’s financial planning workshops, say they were interested in an annuity they heard about, and the seven-year...

Embrace hardship and regulatory change with a positive attitude

By Gregory Warren Smith, CFP I have just told a client about difficulties I’ve been experiencing in my personal life. I was vulnerable and looking for comfort, maybe even pity. The...