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Advisor Learnings From Meltdown and Spectre

Added on January 2018 in Manage Your Practice
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Summary: Odds are that by now you know of Meltdown and Spectre. Why? Because once again a cybersecurity issue has reached the mainstream press – an event happening more and more often as we become an increasingly tech-reliant world. For the advisor, cybersecurity is becoming more of a distraction taking you away from giving financial advice and making your clients’ lives better.

Finra launches helpline for small-firm members

Added on January 2018 in Manage Your Practice
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Summary: Finra launched a helpline for small-firm members on Monday to answer "general and routine" compliance questions.

What to Look for in a New Third-Party Service Provider

Added on January 2018 in Manage Your Practice
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Summary: The beginning of the year is usually a busy time for wealth management firms and the investors they serve. As part of the year-ahead planning that wealth managers and registered investment advisors undergo, they typically evaluate relationships with all of their external service providers.This is a smart tactic for ensuring their businesses are well-positioned to operate efficiently and securely and comply with evolving regulations going forward.

Do You Know How to Mini-Close?

Added on January 2018 in Manage Your Practice
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Summary:We’ve always been taught to be closing, you know the ‘proverbial ABC, always be closing,’ but your concept of the mini-close got my attention,” remarked Jared as a prelude to his question during a Q&A, “Most, if not all, of us would agree that the closing techniques we’ve been taught don’t work on people with money—but how much different is your suggestion?

Fintech learns to play nice with traditional institutions

Added on January 2018 in Manage Your Practice
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Summary: The last couple of years have seen fintech upstarts forge successful partnerships with incumbent financial institutions to better the industry from the inside out. But it wasn't always this way.

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