From Think Advisor
Added on September 2014 in Form an RIA
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Summary:Responding to the preliminary results of the recently released survey by the North American Securities Administrators Association, which found that the majority of small and midsize state-registered advisors have tech or cybersecurity policies in place and that only 4.1% of the participants were aware that they had suffered a cybersecurity incident.
From Financial Advisor IQ
Added on September 2014 in M&A Issues
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Summary: Investment banks, custodians and boutique lenders are starting to rally behind independent RIAs in need of capital for merger deals, according to Institutional Investor.
From Financial Planning
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Summary: At most advisory firms, the founders are the primary rainmakers. They seem to have this innate, magical ability to bring in new business, and their entire firms have grown up around them to support them in that role. I believe it takes more than monetary rewards to build an organization focused on successful business development. The answer lies in implementing these six key strategies.
From Financial Planning
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Summary: When a prospects asks “what do you do?,” there is nothing you can say, no words that will come out of your mouth, that will be so interesting, so titillating that it will stimulate curiosity to learn more about your professional services.
From On Wall Street
Added on September 2014 in Form an RIA
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Summary: The Institute for the Fiduciary Standard, which is organizing a series of events this month to raise awareness about the issue, has released a report outlining a code of conduct for advisors working with retail clients, and is working to promote the cause with a new partnership with NAPFA.
