Senior Consultant Bob Tuch Publishes Article “Conducting Effective Meetings with Investment Advisory Clients”

Oyster Consulting Senior Consultant Bob Tuch recently contributed his article, “Conducting Effective Meetings with Investment Advisory Clients” to Practical Compliance & Risk Management for the Securities Industry, a Wolters Kluwer publication.  Client meetings play an important role for financial services firms that provide investment advisory services to their clients. The initial meeting is extremely important for investment advisers because they must reasonably determine that any investment advisory services that are provided are suitable, taking into consideration the client’s financial situation, investment experience and investment objectives, among other things. For providers of ongoing investment advisory services, periodic meetings are also important, since the investment adviser’s fiduciary duty to clients includes the responsibility for providing advice and account monitoring over the course of the adviser-client relationship. Bob’s article focused on how investment advisers can effectively use client meetings to facilitate the delivery of quality investment advisory services.

Read the Article

Oyster Consulting offers our investment advisor clients a wide array of services. We recognize that the best run organizations make decisions with representation from key areas including finance, operations, compliance, risk, technology, trading and marketing. We form our points of view in the same way. Diversified experience and backgrounds help us approach each client with a unique perspective.  For more information about how Oyster can help your firm, complete our contact form or call us at (804) 965-5400 and one of our associates will be happy to help you.

About the Author: Bob Tuch has over 25 years of experience in the financial services industry. He has served as in-house counsel for Nationwide Financial Services, Inc., an affiliate of Nationwide Insurance Company, and BISYS Fund Services, a mutual fund administrator and product distributor. At Nationwide, he managed a practice group that supported Nationwide-affiliated broker-dealers and provided legal support for Nationwide insurance agents. At BISYS, he provided legal support for BISYS mutual fund clients, including the preparation and review of mutual fund registration statements, the review of advertising and sales literature and the preparation of board meeting agendas, resolutions and minutes. Prior to serving in these in-house counsel roles, Bob held the position of Attorney Adviser in the Investment Management Division of the SEC.

 

 

 

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