Added on March 2017 in Form an RIA
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Summmary: [SLIDESHOW] Advice firms filing their form ADVs after Oct. 1 will need to change certain items to meet new requirements adopted by the Securities and Exchange Commission last summer. The additional data will help the SEC focus on examining firms more often that present the greatest risks, said Bridget Farrell, senior counsel in the SEC's division of investment management. She reviewed these items at the Investment Adviser Association Compliance Conference in Washington, D.C.
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Summary: Think back to your first day on the job. If you’re like most people, you felt excited and were eager to get down to work. But, based on the results of field research I recently conducted, I am willing to guess that just a few months later that excitement dissipated and you began to feel dissatisfaction, even boredom, with some aspects of your job. You’ve probably witnessed a similar trend among the employees you’ve hired and managed as well.
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Summary: Greg has been a financial adviser for 22 years, and he’s a good one. He has an established, but still growing, book of business. He appreciates automation — his clients love the new client portal his firm rolled out a few years ago, his portfolio rebalancing workflow is mostly automated, and fully paperless account opening and asset transfers are right around the corner.
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Summary: While the Financial Services Institute will always be laser-focused on our mission of advocacy on behalf of our members, we have also come to play another very important role: that of a think tank for the independent financial services community. As part of that crucial role, we realize we have a responsibility to help strengthen our community wherever we can, and help it prepare to thrive in the years ahead.
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Summary: How and when advisors communicate with clients is constantly changing. The days of traditional emails and memos are numbered. Gone are the days when face-to-face meetings were the best way to stay in touch. Today, people require instant communication and texting has found its way to the forefront of human interaction—particularly in business. Now, we’re all digital all the time.
