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Summary: They get a bad rap, but compliance officers don’t deserve all the blame. Are you provoking them? If you’re doing these things, you are creating your own compliance nightmare.
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Summary: If you watch the news with any regularity, you know that data breaches can happen to even the biggest and best-known entities. And not only are they expensive for companies and consumers to deal with but they also erode the trust that registered investment advisors (RIAs) have worked hard to build with their clients.
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Summary: Let’s face it: technology is driving profitable growth for businesses by helping them deliver personalized client experiences effectively and efficiently.
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Summary: The crowd at Raymond James 2018 Women’s Symposium in Tampa, Florida, got plenty of advice and business-growth ideas from four top female financial advisors on Friday.
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Summary: Financial professionals, like their clients, are increasingly mobile and less tethered to a desktop workstation. The best tools are, likewise, mobile and as close as your smartphone or tablet. Here are 10 mobile apps, all of them recommended by working advisors, that will keep you plugged into the cloud as you serve your clients securely from wherever in the world you happen to be.
