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Summary: It’s that time of year again when we start thinking about the New Year and what we want to accomplish. Setting performance goals is an important part of this planning process and below are some do’s and don’ts to help you and your employees set goals for the upcoming year.
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Summary: American consumers are increasingly using financial advisors but many traditional wealth management businesses leave out the less affluent at their own peril, according to a recent report.
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Summary: Bill Morrissey, LPL's chief recruiter, argues that the IBD is well positioned to capitalize from the new Department of Labor fiduciary rule. For one, the rule is expected to accelerate consolidation and push advisers to new homes.
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Summary: Just as registered investment advisors name adopting cybersecurity policies as their top compliance chore, RIAs rate anti-money laundering policies as their second biggest concern.
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Summary: Like most advisory firm owners and business consultants today, when I started my consulting business 15 years ago I thought business consulting was an ongoing process: with the consultant serving as an “off the books” member of the executive team, working to grow a successful advisory business. I even described my services as a “virtual CEO or COO,” or some fancy name that I care not to remember.
