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COVID-19 Could Be a Harsh Test for Advisors' Business Continuity Plans

Added on March 2020 in Form an RIA
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Summary: In 2016, the Securities and Exchange Commission proposed a rule that would require investment advisors to put business continuity and transition plans in place. But the rule was never finalized.

SEC extends Form ADV deadline for advisory firms affected by COVID-19

Added on March 2020 in Form an RIA
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Summary: The Securities and Exchange Commission announced Friday night it is extending the deadline for filing registration paperwork for investment advisers who have been affected by COVID-19.

Ten Questions to Assess Your Business Strengths and Weaknesses in 2020

Added on January 2020 in Form an RIA
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SummaryEven many experienced financial advisors are not as disciplined as they should be at staying true to their core values and remaining focused on their business goals.

Five Mistakes Planners Make When Running Their Businesses

Added on January 2020 in Form an RIA
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Summary: Many planners spend too much time working in their practices and often forget they need to work on them as well.

Mitigating the 3 common conflicts of AUM fiduciaries

Added on January 2020 in Form an RIA
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Summary: For years, there’s been an ongoing tug of war in the financial services industry about standards of care, compensation and business structure. Based on what was once almost the expanded Department of Labor fiduciary rule and the Securities and Exchange Commission’s new Regulation Best Interest rule, one might believe advisers who charge an asset under management fee are the “good guys” and everyone else the “bad guys.”

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