From ThinkAdvisor
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Summary: As with other segments of our society and economy, COVID-19 is changing the independent advisor business. To determine how — and how much — in early March, our firm launched an ongoing survey to track behavioral changes in the industry within advisory firms in response to the pandemic.
From ThinkAdvisor
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Summary: “What’s the biggest challenge facing financial advisors today? The stock market? The economy? The threat of war in the Middle East? Managing client portfolios in the new investing environment? Based on over 20 years of experience consulting with advisors, I’d have to say ‘none of the above.’”
From wealthmanagement.com
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Summary: It’s not uncommon for the compliance function within most RIAs and broker-dealers to get overshadowed by the organization’s core investment activities. This is not to say the area isn’t vitally important, but it’s also true that those outside of compliance rarely understand all that goes into the day-to-day of most chief compliance officers. Unlike other ancillary functions, however, when it comes to compliance, what executives don’t know can hurt them.
From Advisor Perspectives
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Summary: Have people gone crazy? A client called me this week from the hospital. She is 76 years old, was in reasonably good shape but was pushed down in a stairwell because she was not wearing a mask bringing groceries to a neighbor.
From InvestmentNews
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Summary: After several weeks of physical isolation, economic upheaval, and a very real threat to our physical health, I would be surprised if we didn’t feel a collective yearning to go back to “normal.” The financial services industry entered 2020 after a whirlwind year of growth and change, but finds itself now in uncharted territory, forced to adapt every aspect of our work to a global pandemic with no end in sight.
