Practical analysis for investment professionals

Leadership, Management & Communication Skills


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.

Leadership Roundup: Leaders and Leadership in the News

Leadership-related news in March seemed to disprove the old adage “in like a lion, out like a lamb.” It was definitely an interesting month.

The Financial Adviser’s Guide to Twitter

Have you ever wondered why some tweets are valued more than others? (Think of the people you’ve followed, or “unfollowed,” in recent months and why.) Well, the wait is over. A new study, “Who Gives a Tweet? Evaluating Microblog Content Value,” provides some answers.

Leadership Roundup: Identifying Innovators and Promoting Innovation

Looking for a potpourri of content to help you strengthen your leadership, management, and communication skills? Look no further than this month’s roundup to gain insights on managing others, managing yourself, and tips on innovation and sustainability.

Listen Up: Emotional Intelligence is Critical for Success

Do soft skills really matter as much as technical skills in terms of career success? Our career services representative, Julia VanDeren, has frequent interactions with recruiting and training and development managers, and she has heard a lot of consistency in terms of their top priority for employee development. Somewhat surprisingly, it’s listening.

Generating Investment Ideas: Interview with Entegra’s Jim Butcher (Part 2)

In the second half of this interview with the CEO of Entegra Partners, Jim Butcher outlines the benefits of scenario planning, which he thinks is especially useful in these uncertain times.



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