General Office Productivity Tools - Document Management Systems
Managing your client's files is more than just using a filing system; consider digital filing systems, retention policies, security, disaster recover and authentication
Published on October 05, 2012
General Office Productivity Tools - Email
Email isn't just email for personal financial planners. At a minimum, to meet state and federal regulations pertaining to registered investment advisers, you must think about retention policies and privacy issues, as well as archiving, retrieval and disaster recovery issues
Published on January 15, 2013
Business Structure Plays a Key Role for CPA Planners in Business Continuity
CPAs have a variety of business structure options to choose from in building a PFP practice. Choosing the one that is right for you takes time and careful consideration.
Published on September 20, 2010
Registration and Compliance
Investment Advisers, Investment Adviser Representatives, Broker-Dealers and Solicitors may be subject to certain SEC and state registration and compliance issues.
Published on March 06, 2013
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