NEB and ProducersWEB.com Peer into Future with TrendWatch 2.0 Podcast Series.
SAN DIEGO, CA, September, 2009—To help financial professionals benefit from emerging industry trends, National Ethics Bureau (NEB) has once again partnered with ProducersWEB.com to produce a monthly podcast series. Entitled Trendwatch 2.0, the series is available exclusively on ProducersWEB | Continued » |
|
Top Ten Things Advisors Should Know Before Buying E&O Insurance, according to the National Ethics Bureau
SAN DIEGO, CA, September, 2009—Errors-and-omissions insurance is a key business preservation tool today. To help advisors make a wise E&O purchase decision, the National Ethics Bureau (NEB), home of www.eoforless.com, has compiled a list of “The Top Ten Things Every Advisor Should Know about | Continued » |
| |
The National Ethics Bureau™ (NEB) is a leading advocate for business ethics in the financial services industry. NEB promotes ethical business practices through its trade-magazine columns, conference presentations, monthly newsletter, and website content. It also maintains a membership community of background-checked advisors who have agreed to uphold its principles and membership standards.
NEB also sponsors an affordable errors-and-omissions program and state-approved ethics and compliance CE courses for licensed insurance agents and securities brokers.
For the general public, NEB provides the ability to purchase a background check on any financial professional prior to doing business.
NEB is not a financial designation, nor does it endorse any products or services offered by its members or sponsors.
For more information, visit: www.ethicscheck.com |
|
| |
Unleash the Power of NEB Membership...Carefully
|
|
|
This month, our hightlighted FAQ question deals with communicating your approved membership status to the public.
22. When communicating with the public, what terminology do you allow and NOT allow your members to use regarding their membership?
Advisors may only describe themselves as a “Member of the National Ethics Bureau” and cannot imply in any way, whether written or spoken, that NEB endorses or approves of their company, product, or services. | Continued »
Complete FAQ document click here. |
|
| |
| |
 |
SEC Warns Financial
Firms of Government Impersonators |
| |
The Securities and Exchange Commission (SEC) is warning financial services firms about con-artists who may use the names of actual SEC employees to mislead potential victims. The agency also is providing information to help potential victims protect themselves from SEC impersonators.
In some instances, investors in the U.S. and abroad have been tricked into revealing private information, giving fraudsters access to their brokerage accounts, and even sending money and other assets to imposters. In other instances, unknown individuals have attempted to impersonate SEC examiners to gather confidential information from broker-dealers and investment advisers. Imposters have contacted firms by telephone, identified themselves as members of the SEC staff, and demanded immediate access to the firm's records, sometimes claiming to be conducting an "emergency" examination. | Continued » |
| |
|
| |
| |
| Rogue Advisors on Parade |
 |
Recent crimes and consequences in the
financial services industry.
|
|
|
|
| |
| |
|
Due Diligence? Get Serious (Part 1)
|
|
“Due diligence.” Now that’s a quaint term! Since 1933—when Congress passed the Securities Act—financial firms have been conducting research on the companies whose equities they |
sell. They don’t do this out of the goodness of their heart. Rather, they do it as a potential defense. If clients accused them of not disclosing material information, they could use their due diligence as a shield, even if it didn’t uncover the information in question.
After due diligence became a standard practice in the securities and other industries, the term entered common usage as a synonym for “checking something or someone out.” Even clients tried to do due diligence before selecting a financial advisor or making an investment. At least some did. | Continued » |
| |
|
| |
| |
| |
|
Use the NEB Logo
to Strengthen
Your
Personal Brand |
 |
If you’re an NEB member, you have the right to use the NEB logo on your web site and marketing materials. But chances are you already display your own company logo as well as those of one or more insurance companies or securities broker-dealers. So why add yet another logo to the mix?
Because branding is much more than a logo. It consists of the values consumers attribute to you. It stands for your mission, your experience, your competencies, your service commitment, and most important of all, your ethics and integrity. And these values come to mind every time a client sees your brand.
So why incorporate NEB’s logo into your personal branding? Because it tells clients and prospects that you . . . | Continued » |
| |
|
| |
| |
|
Tip #1 - Sell Straight
|
Make sure your solicitation materials play it straight. You never want to misrepresent who you are, what you do, or what you sell. |
Brought to you by the National Ethics Bureau, sponsor of Preferred Risk E&O insurance for qualified advisors. To see how much you can save, visit www.eoforless.com.
|
| |
|
|
|
Contact us: Phone: (800) 282-1831 | www.ethicscheck.com
Copyright © National Ethics Bureau Inc. 2009. All Rights Reserved.  |
|
