Banks are improving their financial planning tools as the practice becomes more important to the firms and their advisors
Regulatory initiatives such as CRM2 are forcing firms to create or improve their IT platforms - as well as increase the support and education for advisors making the transition to or operating within a fee-based practice
There are conflicting opinions about regulators' auditors and the approach they take during the auditing process
Fewer resources or smaller compliance departments are making the regulatory burden more onerous for smaller firms
Your outgoing message should assure clients that you will respond to their call