Off-Channel Communications Enforcement Isn’t Over — Why Your Recordkeeping Posture Still Matters
Introduction — The “WhatsApp Problem” Didn’t End with the Headlines When the SEC’s record fines...
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Reg S-P Is Now a Deadlines Story: Incident Response & Vendor Oversight Under a Privacy Rule
Introduction – Privacy Rules Used to Be About Paper For years, Regulation S-P was treated...
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SEC 2026 Exam Priorities: The “New Core” for Advisors & Broker-Dealers
Exams Aren’t Episodic Anymore For decades, SEC exams followed a predictable rhythm. Firms treated them...
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Archiving Isn’t Enough Anymore: Why Regulators Now Expect Proof of Supervision
For years, many firms have treated recordkeeping as a storage problem. If the records existed...
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Top CRM Challenges Financial Advisors Must Overcome And How to Fix Them
A CRM can be the heartbeat of a financial advisory practice or a constant source...
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The Rise of AI in Financial Advisory
Artificial Intelligence (AI) is changing almost every industry, including financial services. Clients now expect quick...
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Crafting A Client Retention Strategy: Best Practices for Financial Planners
Building strong, lasting relationships is at the heart of financial advising. Every successful advisor knows...
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CRM Trends 2025: Navigating the Future of Customer Relationships
AI is heavily influencing current trends in CRM. Businesses are increasingly using AI-powered tools to...
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CRM Integration Strategies for Companies
Disconnected tools, scattered data, and clunky processes, does that sound familiar? Without a well-integrated system,...
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