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Resource Your Comprehensive Guide to Transitioning

If you’re thinking of changing broker-dealers, you owe it to yourself to read this article that covers all major aspects of the transition process.

Resource Electronic Communications Supervision is Broken

This White Paper outlines the immediate actions firms can take to correct outdated and costly supervision procedures.

Resource Why Video Trumps Text

As an investment professional, video marketing can be a very powerful tool that you can utilize to enhance your practice.

Resource Investment Management Consultants Association® Focus on Ultra-High-Net-Worth Clients.

Part I of a series of articles on working with ultra-high-net-worth clients from IMCA’s Investments & Wealth Monitor take a look at generational differences in the ultra-high-net-worth (UHNW) space, two industry thought leaders—Jean L. P. Brunel and Charlotte Beyer—provide their perspectives on the UHNW space, and the costs involved in creating a practice that caters to UHNW clients.

Resource Attract More Clients and Exceed Expectations

Learn how to build a better business and create loyal clients and advocates from the start.

Resource Instant Access White Paper: Six Ways to Grow AUM with Financial Services Cloud

Don't allow high-value prospects to leave you for more connected, more digitally-capable, advisors. Download this white paper and learn six distinctive strategies you can implement immediately.

Resource Build a Disruption-proof Practice

Guard your practice against advisory industry disruption. Industry disruptions and a tempestuous market make it even more challenging to stay profitable.

Resource Tsunami Wave Called the DOL Rule Washes Across Industry

In April 2016 the DOL’s long-awaited Conflict of Interest Rule rolled out leaving a mountain of questions about the future of retirement advice. This Legislative Intelligence update from IMCA summarizes the recent DOL rule and how it will affect those who provide financial advice.

Resource The DOL’s Game-changing Fiduciary Rule: What Should You Do?

You’re not alone facing the changes—the effects are wide ranging across the financial sector, from product manufacturers and wealth management firms to individual financial advisors and even investors.

Resource Global Opportunities: What Investors Need to Know

Changing economies create an expanding opportunity set abroad, but many clients still fear volatility. See where the experts are pinpointing global opportunities, and help clients turn volatility into value.

Resource Complimentary White Paper: Is Your Marketing Plan Adrift at Sea?

Reviewing this paper and incorporating the steps included into your 2016 marketing plan will enable you to be effective and take advantage of the huge swells soon to come.

Resource Financial Services Cloud: 3 Core Advantages

Learn how to help your firm maximize client relationships.

Event NAPFA 2016 Fall Conference

October 11, 2016- October 14, 2016 | Hyatt Regency Crystal City, Arlington, VA

Professional Library Regulatory Oversight of Investment Advisors

From The Investment Advisor’s Guide to Compliance

Professional Library

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Professional Library Advertising Advisor Services and Credentials

From The Investment Advisor’s Guide to Compliance

Professional Library Agency and Principal Transactions

From The Investment Advisor’s Guide to Compliance

Professional Library Anti-Fraud Provisions of the Investment Advisers Act

From The Investment Advisor’s Guide to Compliance

Professional Library Best Practices for Working with Senior Investors

From The Investment Advisor’s Guide to Compliance

CE August 2016 CFP CE Test

Earn 1 hour of pre-approved CE credit.

CE July 2016 CFP CE Test

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CE June 2016 CFP CE Test

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CE May 2016 CFP CE Test

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CE April 2016 CFP CE Test

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CE March 2016 CFP CE Test

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CE February 2016 CFP CE Test

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CE January 2016 CFP CE Test

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CE December 2015 CFP CE Test

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CE November 2015 CFP CE Test

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CE October 2015 CFP CE Test

Earn 1 hour of pre-approved CE credit.

Professional Library

Books and Records Rule

From The Investment Advisor’s Guide to Compliance

CE

September 2015 CFP CE Test

Earn 1 hour of pre-approved CE credit.

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