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The CFA Institute analyzed 110 videos and other social media posts. Here's what financial advisors and other investment professionals should know.
February 20
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Industry lawyers say the case shows that "half disclosures" of brokers' conflicts of interest won't be enough for regulators.
February 20
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Crafting and administering an effective RIA compliance policy is hard but essential for firms that seek to avoid fines and reputational damage.
February 20
Brightstar Law Group -
Yesterday's historic "firsts" blazed a trail for those of today — with a moral and business imperative for the industry to learn from these five figures' examples.
February 20
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Those fields are a bright spot in dealmaking amid a slump in other industries. Here's why non-bank loans that drive deals could bring problems in the future.
February 19
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A reader in D.C. owes $12,000 across seven different credit cards. Can financial advisors help him dig himself out?
February 16
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Putting financial security before relationships and wanting investments that don't harm their altruism are key to young investors.
February 16
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Christopher Armstrong and Randall Kiefner question an arbitration ruling finding they owe Charles Schwab nearly $3 million.
February 15
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Interactive exercises that let clients reflect, write and even just doodle about their history and goals can build trust and improve financial outcomes.
February 15
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The advisor, known for his work with pro athletes, on changing mindsets and making new opportunities.
February 15
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Financial firms should consider partnering with universities, as well as prioritizing diversity, to recruit top talent in a competitive market.
February 15
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From not saving enough for retirement to racking up too much credit card debt, here's what Americans wish they hadn't done with their money last year.
February 14
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Financial advisors are under pressure to provide guidance on more than just money while trying to maintain client relationships.
February 14
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With so many compliance systems on the market, regulators are likely to look askance at firms that don't embrace them.
February 13
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The largest independent brokerage will move 2,400 financial advisors from seven brokerages onto its platform during a lengthy conversion stretching into 2025.
February 13
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Pivoting from "this company will always be mine" to "I need to find a partner who can help me maintain continuity" is a necessary mindset shift for advisors making continuity plans.
February 13
Mercer Advisors -
Bill Harris, the former CEO of Personal Capital, TurboTax and PayPal published a new edition of his "Investment Tax Guide" with the future of the industry in mind.
February 12
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The latest group of firms to be dinged for "off-channel" communications shows encrypted messages remain a source of concern for regulators.
February 12
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Understanding new retirement regulations and utilizing technology will help your firm grow.
February 12
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The online brokerage sees its popular talking babies ads as a way to get tens of millions of viewers to think about how they might put their money to better use.
February 9
