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Summary: During a Financial Planning webinar addressing audit readiness, Brian Hamburger, founder and president of MarketCounsel, a leading business and regulatory compliance firm, and Robert Molinari, vice president of compliance at Commonwealth Financial Network, laid out some best practices for preparing for regulatory audits
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Summary: When financial advisors choose independence and launch a registered investment advisor, despite the long-term rewards, in the short term, they are operating a business with no revenue and significant expenses.
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Summary: When going independent, should financial advisors really go it completely alone? If hiring full-time advisors and other workers isn't an option at the outset, outsourcing, employing virtual employees and using cloud-based services could be good alternatives.
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Summary: Before going independent, financial advisors should make sure make that they know the fine points of the compliance rules and regulations that they will encounter.
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Summary: The promise of a seamless technology integration in which advisers get up to speed quickly and use all of the software programs and data available to them with ease isn't a reality at most advisory firms. Not yet, at least.
