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Summary: As cyberattacks continue to grow in sophistication and global scope, protecting clients’ sensitive financial information from hackers—while adhering to evolving financial services industry regulations—is more critical than ever. Broker/dealers and registered investment advisors (RIAs) that suffer data breaches are not only subject to regulatory fines and investigations but also to permanent damage to their reputations.
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Summary: Over 90 advisors responded to a survey I conducted earlier this year with Advisor Perspectives. Here are the important insights into which activities help find new business for RIAs and IBDs.
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Summary: Regulation can be just as much a friend of the advisory industry as an enemy — as long as firms can keep an open dialogue with regulators and a steady eye on the future.
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Summary: Certainly one of the most prevalent ways to thank your clientele for their business and promote new business opportunities for your practice is to host the ever-popular client appreciation event.
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Summary: Financial adviser Dewey Engelsma perfected his time-management skills by investing in technology and parceling out his day.
