This article entitled “Investment Fraud and the Role of Trust” by Dr. Susan Mangiero was originally published on April 19, 2017 in The Fraud Examiner, a publication of the Association of Certified Fraud Examiners that is distributed to some 65,000
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Funny Courtroom Film Still Used For Teaching
I had a chance to watch My Cousin Vinny on television the other night and was reminded how humor is such a powerful storytelling tool. How many times do we remember important concepts because the speaker or writer makes us…
Can A Retirement Plan Have Too Much Risk Management?
The issue of excess has been on my mind lately, mostly focused on my fragrance collection but now expanding to the topic of investment risk management. More specifically, as I continue to lead workshops about retirement plan risk management for…
Investment Policy Statements and Trading Authority
For those who are unaware, I created an investment compliance and risk management blog a few years ago called Good Risk Governance Pays®. Although I mostly provide insights that are unique to each website, from time to time I…
How to Sell Investment Services
As I understand, the term “consultative selling” was first used by author and sales expert Mack Hanan. The concept is simple. Know what your customer needs and offer them solutions to their problems. The process is a two-way street.…
Effective Retirement Plan Communications
My blog post entitled “Simplifying Retirement Planning Communications” resonated with readers. It’s no surprise that there are still discussions about how best to improve the information provided to participants. Given the amount of litigation alleging lack of transparency,…
Five Retirement Fiduciary Events That Made a Big Difference in 2016
Kudos to Chris Carosa for his continued efforts as publisher of Fiduciary News. I share his mission to educate and provide independent insights. That is why I was delighted to be one of the contributors to his recent article, “…
Simplifying Retirement Planning Communications
For many people, retirement planning tends to be an exercise in frustration. Some complaints focus on numbers that seek to dazzle without enlightening. Others call out language that is overly long, complex and ambiguous. The author of “HR communications…
Improving the RFP Process
A few months ago I was asked to complete a Request for Information (“RFI”) by the sponsor of a large pension plan. Their goal was to hire an independent outside party to vet the investment management policies and procedures of…
Employee Fun Factor and the Bottom Line
This first Monday in September finds millions of Americans and Canadians celebrating Labor Day 2016 with a day off from work or school. For some it marks the end of summer and a return to “no play” for awhile. Smart…