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Summary: Financial advisers today face changing client needs, technology-driven disruptions, increasing competition and other businesses pressures, but there are ways for them to leverage these transformations, according to Michael Kitces and Alan Moore, co-founders of the XY Planning Network. They presented these suggestions at the TD Ameritrade National LINC 2017 conference in San Diego.
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Summary: Wikipedia tells us that, “Delegation is the assignment of authority and responsibility to another person to carry out specific activities. The person who delegated the work still remains accountable for the outcome of that work. Delegation is supposed to empower a subordinate to learn and to make decisions.”
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Summary: Wikipedia defines the famous ‘chicken or the egg’ question as the “causality dilemma” and in our current world of technology, we cannot help but apply such a dilemma to our industry.
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Summary: The Securities and Exchange Commission exam arm announced Tuesday that deficiencies involving compliance procedures, regulatory filings, the custody rule, code of ethics, and books and records are the five that most often trip up registered investment advisers.
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Summary: I’ve participated in many IT budget processes in my career. While being an accountant helped, it doesn’t take a CPA to understand that a successful budget includes realistic thinking and business planning.
