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Summary: Concurrent CCO Describes A Collaborative Approach To Compliance And Three Steps To Establish A Compliance-As-Partner Culture
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Subject: Reframe professional development review meetings to put the onus on the employee to hold themselves accountable.
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Summary: As DeCenso explains in the Q&A dialogue presented below, the prospects for growth remain highly compelling. Simply put, as the financial lives of Americans at all wealth levels grow increasingly complex, the services of skilled advisors are in higher and higher demand.
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Summary: Each year, industry players sit down and read the tea leaves to spot the subtle yet dramatic changes happening in the independent wealth space and to identify the key underlying themes that will shape the industry going forward.
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Summary: Business owners often carry the responsibility for managing all aspects of their RIA firms— strategy, services, positioning, business development and the list goes on. This approach leaves leaders burned out and team members buried in tactical execution with their heads down and hearts despondent.
