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New SEC Proposal Will Force Advisors to Plan for Succession

From WealthManagement.com
Added on June 2016 in Plan for the Future
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Summary: The SEC proposed a rule Tuesday that would require investment advisors to put in place business continuity and transition plans, detailing how they would "minimize material disruptions" to service in the event of natural disasters, cyber attacks, technology failures, the departure of key personnel or other events. Advisors could tailor their plans to fit their operations and risks specific to their particular business models.

SEC Floats RIA Succession Planning Rule

From Think Advisor
Added on June 2016 in Plan for the Future
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Summary: As anticipated, the Securities and Exchange Commission proposed a new rule Tuesday requiring registered investment advisors to adopt and implement written business continuity and succession plans.
 

Advisory firms using creative job titles to attract clients, staff

From InvestmentNews
Added on June 2016 in Manage Your Practice
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Summary: Financial advisory firms are starting to embrace the trend of using job titles that reflect the spirit of the position.

Watch your tongue: Terms that help—and hurt—the planning profession

From Financial Planning
Added on June 2016 in Manage Your Practice
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Summary: The words we use to describe ourselves can give us a wind at our backs, or they can generate a wind in our faces. This especially applies to the financial planning sector, in part because the profession has yet to define itself in the public mind with crystal clarity.

Do's and Don'ts for Setting Performance Goals

From IRIS
Added on June 2016 in Plan for the Future
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Summary: It’s that time of year again when we start thinking about the New Year and what we want to accomplish. Setting performance goals is an important part of this planning process and below are some do’s and don’ts to help you and your employees set goals for the upcoming year.

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