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Summary: Many investment advisors broke out in a cold sweat when the SEC announced in May 2021 that the landmark marketing rule the agency had approved the previous December would go into force on Nov. 4, 2022.
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Summary: The financial advisor job is more than just crunching numbers. It’s about understanding individual goals and needs, building a relationship based on values, and offering sound advice tailored to each client’s unique circumstances.
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Summary: A recent ABA Formal Opinion 507 addresses office sharing arrangements, which are becoming more common post-COVID. More virtual offices mean that law practices don’t need “brick and mortal” office space (that is, space owned or rented by the firm) just for themselves. Instead, two or more law practices share certain common office facilities, overhead expenses (for example, rent, furniture, equipment and even utilities) and perhaps support staff (for example, a common receptionist, office assistants and perhaps paralegals)
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Summary: Financial advisors have shown almost unanimous support for using financial technology products for key elements of their working week. A poll of more than 800 advisors across the U.S. shows that 95% reported using fintech for processes such as trading and clearing, portfolio rebalancing and investment analytics.
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Summary: Three initial advisor-provided client experiences can set in motion the “human-centric” aspect of financial planning.
