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Summary: Sound too good to be true? Implementing a client relationship management tool (CRM) is not only a tool for acquiring and keeping clients, it is your best line of defense against the Department of Labor's new fiduciary rule. Documenting client interactions, discussions and investment recommendations is now an absolute necessity for superior client service and an regulatory defense.
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Summary: Should you hire an intern next summer? Yes, say planners who have done it, saying that it’s best if you have substantial work that an intern can do. But how do you know if your needs match what an intern has to offer?
Added on August 2016 in Form an RIA
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Summary: Four candidates for the small-firm seat on the board of governors of the Financial Industry Regulatory Authority Inc. want to make the broker-dealer regulator responsive to the compliance pain their sector is feeling.
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Summary: Finra’s guidance to financial advisors on the use of social media is now six years old, which means the industry has already adopted some best practices, one commentator writes on Forbes.
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Summary: In my experience most financial advisers are poor at valuing the advice they give. This is despite a number of excellent studies highlighting the difference an adviser can make to a consumers wellbeing and net worth, as well as the experience of the advisers themselves over the course of their careers. It is worth noting that I am not referring to being poor atexpressing the value – which we usually are – but we are poor at actuallyputting the proper value on the advice itself.
