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Summary: State and federal examiners increasingly expect advisors to have a business continuity and succession plan in place, even if they aren't bound by a specific rule mandating a formal policy.
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Summary: While initially seen as a competitor to advisers, many see the automated investment advice as a potential benefit for advisers in terms of helping them scale their practice and serve younger or mass affluent clients at a lower price.
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Summary: State securities regulators have advanced a model rule outlining policies investment advisers should have in place to respond to natural disasters or the death or incapacitation of an executive.
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Summary: Many advisors have built successful businesses by catering to the financial needs of baby boomers, but those clients are heading into retirement and switching their focus from accumulating assets to liquidating them. In order to keep their businesses vibrant, advisors need to prepare for what comes next and have a plan for replacing that lost revenue from managing that shrinking pool of assets.
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Summary: His company does for advisory clients what I wish my doctors would do for me: enables advisors to populate all their forms with the information that their clients provide one time—online. It may seem like a small thing, but it’s the kind of service that clients will appreciate, and remember.
