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Summary: Financial advisory firms of all kinds have received fair warning that they must strengthen their data security and client identity protocols.
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Summary: Advisors should not only post thought leadership content on their websites to position themselves as experts, they should also analyze the results to improve their return on investment.
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Summary: Too many client meetings end up focusing narrowly on performance, often with clients steering the discussion in the wrong direction. The result is usually an outcome that doesn’t serve the client or the advisor well.
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Summary: The U.S. Securities and Exchange Commission said Monday that the hackers who broke into its corporate filing system last year accessed two people's personal information, a change from the agency's previous assessment that it didn't believe such data had been compromised.
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Summary: In recent years, more retail investors have started to make the distinction between a fiduciary duty and a suitability standard. This, of course, is due to the Department of Labor’s years-long effort to rewrite the rules for retirement accounts, which has gained attention from segments of the mainstream media that don’t typically cover our industry.
