Electronic delivery—or going paperless—of monthly statements and other related account documents to clients is not only environmentally friendly, but it represents a higher level of client service through quicker delivery, easier record storage, increased security and the ability to view from anywhere.
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Concerned about broker/dealer consolidations and how they may be an unavoidable consequence of the times? Remember, it does come at a cost to advisors and investors.
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In a recent SEC Risk Alert on the issue of outsourcing compliance, the SEC’s concerns centered on a third-party provider’s scope of authority, its communication with staff and whether an outside compliance provider with multiple clients had the resources to sufficiently service the firm.
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Attempting to be the advisor to two individuals who are in the process of divorce is rife with conflicts since the spouses are now adverse parties with their own interests. Read on …
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For investors, the Investment Policy Statement (IPS) may be the best tool for defining where they want to go and how they expect to reach their destination. In this post we will be discussing the benefits of an IPS.
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