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Summary: The Securities and Exchange Commission's new reforms on financial advice could push firms to rethink how they invest in technology.
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Summary: The breakaway movement has altogether altered the advisory landscape, and the industry has responded in kind to answer the needs of an ever-increasing number of advisors in search of the greater freedom and flexibility of independence.
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Summary: Prospecting for new clients is key to the growth of every advisory practice — but ironically, it is one of the areas where advisors devote the least amount of time.
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Summary: The financial advice profession has often fallen short when it comes to serving young people, people of diverse backgrounds and low-net-worth households. That’s because one of the longtime draws of financial advice is earning above-average income by offering services to the wealthy. But younger advisors today see more than that—they see opportunities serving those groups who aren’t being served.
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Summary: Just because a firm has the ability to password-protect, encrypt or implement other security features to protect its data, doesn’t mean the firm is actually taking those steps. That’s the observation being shared by the SEC in its most recent risk alert, which covers safeguarding customer records and information in network storage.
