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Entries related to: financial-services-news

Financial Services Institute Ramps Up Due Diligence Efforts

Originally Posted by Financial Services Institute Since the most recent financial crisis, complex products such as non-traded real estate investment trusts, business development companies, equipment leasing products, and oil and gas partnerships have come under increased scrutiny by regulatory agencies including FINRA, state securities regulators, and the SEC. In this environment, due diligence processes and procedures have become critical to ensuring products are properly reviewed and vetted before being sold to investors.
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How Advisors with Hearing Disabilities Inspire

Originally Posted by Financial Services Institute Regardless of market cycles, shifting demographics or changes in technology, there remains no more powerful driver in helping a client realize his or her financial goals — and overcome the challenges that may stand in the way — than a committed advisor with the perspective and dedication to play a meaningful role in the client’s life. Kramer Financial in Frederick, Md., epitomizes this goal of being that meaningful influence in their clients’ lives.
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SEC Changes to Enforce Tougher Custody Rules for Broker-Dealers

The SEC has adopted some important changes to broker-dealer reporting rules. The changes are meant to enhance oversight over custody rules and strengthen audit requirements.
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Infographic: Financial Tech Habits of Baby Boomers

Whether you're an RIA or a broker-dealer, you know that it's critical to understand your clients and potential clients. Understanding how they do business online is an important step toward understanding their needs. Here's a great infographic about the financial habits of baby boomers. It can give you insight into how to better market your services to this segment of the population.
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Study: Americans want to buy life insurance online

Retailers around the world already know that people want to be able to buy products instantly online, and complicated products like life insurance are no exception. A recent study found that 23% of consumers want to be able to research and purchase life insurance online.
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