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Summary: The financial planning industry is counting on universities to produce young planners who will replace the older practitioners who are nearing retirement. The CFP Board of Standards, with the financial backing of TD Ameritrade, recently announced plans to encourage more academic research into topics central to financial planners, and to groom more academics to obtain advanced degrees and thus become the teachers of those undergraduate financial planning students.
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Summary: It’s easy to forget or delay something that doesn’t seem like a big deal at the time. You get busy with other more pressing daily activities like children’s sports, school work, etc...
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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.
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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.
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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.
