Practical analysis for investment professionals

Leadership, Management & Communication Skills

Take 15: Why Emotional Intelligence Is Critical to Your Success (Video)

Demonstrating proficiency in emotional intelligence is a critical skill set that is in demand across all roles in the investment industry. Why is this the case, are there challenges unique to investment professionals, and what practical steps can you take to develop this soft skill?

Leadership Roundup: Lessons from the Barclays Scandal

Barclays was recently fined a record £290m/$450m for attempting to manipulate the London interbank offered rate (Libor). This settlement is the first in a probe launched by the US Commodity Futures Trading Commission that now spans nearly a dozen regulators and more than 20 banks, and the continuing investigations are expected to set a basis for settlement negotiations with individuals and other institutions. So, what went wrong?

Learn to Leverage Social Media to Enhance Your Career (Podcast)

Miriam Salpeter, author of Social Networking for Career Success, explains the importance of social media as a channel to enhance your professional reputation and to become known as a thought leader in your field. She offers practical advice and instruction on how to leverage specific functionality that can help you brand and differentiate yourself.

How Wealth Managers Can Stay Relevant in a World of Social Media

While the adoption of social media among wealth management firms is “at early stages,” according to a recent report, it is a communication channel that “financial institutions can no longer ignore.”

Some Reflections on the Immutable Role of Investment Firm Culture

In the investment management industry these days, a sort of "culture war" is playing out, one that has a much more positive connotation than the phrase typically evokes — and hopefully much more to contribute to the well-being of both investors and the profession.

CFA Institute President and CEO John Rogers: Time for Action

From the 65th CFA Institute Annual Conference in Chicago, John Rogers, CFA, President and CEO, called today for all investment professionals to restore trust in the investment industry. Below is a transcript of his remarks.


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Leadership Roundup: Walmart and Sarkozy under Pressure

Unless you’ve been living under a rock, you’ve probably heard about the alleged Wal-Mart bribery scandal that revolves around the Foreign Corrupt Practices Act (FCPA).

What Do Clients Want? Five Tips for Better Adviser-Client Relationships

We often hear the phrase “trusted adviser," but is “trust” at the heart of the adviser-client relationship? Advisers only lose trust when they promise things they can't control, according to Deena Katz, an associate professor in the Personal Financial Planning department at Texas Tech University.

Take 15: Defining, Motivating, and Achieving Client Engagement

Developing a flow of steady referrals that help an adviser to grow his or her practice is a perpetual challenge. Julie Littlechild, president and founder of Advisor Impact, discusses how enhancing client engagement can support referrals and how to increase the likelihood that your clients become your most ardent advocates.

Take 15: Best Practices in Managing Outliers in the Investment Industry

The nature of the investment industry attracts creative, unconventional contrarians, but these very characteristics that influence extraordinary success on an individual level can cause managerial challenges. In this interview based on the white paper "The Red X: Managing Outliers in the Investment Firm" by Focus Consulting Group Inc., Keith Robinson provides practical advice on how to identify outliers within your firm, discusses the impacts they can have on a firm’s culture, and offers best practices and strategies in managing outliers.

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