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Summary: The SEC's new chair, Jay Clayton, is set to take the reins at an agency where many senior staffers have departed following the election and a host of regulatory initiatives face an uncertain future.
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Summary: [SLIDESHOW] Advisers need not wait for a warning call from OCIE to prepare their firms for an examination — regulators have already offered a hint about their enforcement priorities.
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Summary: Rianka Dorsainvil launched her RIA, Your Greatest Contribution, two years ago with a retainer fee rather than prices based on clients’ assets under management. The $3,400 annual fee allows her more flexibility in choosing clients, she said, and it sends a direct upfront message.
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Summary: In the enterprise landscape, digital literacy is not just about tool competence, but about how well users apply their knowledge to make decisions, cultivate relationships, build a reputation, and mobilize colleagues, teams, communities, and networks. For decades, organizations have deployed productivity, communication, search, and collaboration platforms to improve staff and business efficiency.
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Summary: To be sure, client assets and revenue are the lifeblood of the financial advisory business, and advisers who can boost those metrics for their firms continue to be rewarded considerably beyond their base salary.
