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Summary: The pressure on advisors to prepare for their retirement isn't about to let up, despite an industry-wide uptick in the advisor ranks last year, research firm Cerulli Associates warns.
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Summary: Advisor technology was an area of focus again this year at Schwab IMPACT 2015, with the company unveiling enhancements of many of its advisor technologies.
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Summary: Advisors spent inordinate amounts of time studying financial topics, trends and products so they can make suitable recommendations to their clients for the long term. But are they sufficiently aware of the “future factors” that could have an even bigger effect on their clients’ lives?
Added on November 2015 in M&A Issues
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Summary: Thinking of selling an RIA firm? Make sure it's tech-savvy and up to speed on social media, digital platforms and automated investment advice.
Added on November 2015 in Form an RIA
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Summary: Financial advisors beware: Your firm’s compliance department is watching you, surveilling your personal brokerage accounts and possibly monitoring your Facebook, LinkedIn and Twitter pages. A new survey from Compliance Solutions at Charles Schwab found that compliance officers spend approximately 11 hours per week monitoring and surveilling employees’ brokerage accounts, and half are also watching employees’ social media pages.
