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August 4, 2017

There's No Performance Drop When Managers Exit?
Despite Morningstar’s assertion, FAs see a host of thorny issues at play.
SEC Dumps Push for Third-Party Audits
Regulator also removes stress tests for larger advisors and target date fund disclosure update.
PwC Pays Fine for Flawed Merrill Lynch Audit
Last year Merrill paid $415 million over the misuse of clients’ assets.
Netflix’s ‘Ozark’ Holds Some Truths About FAs
But advisors wish filmmakers would present a more positive depiction of their real work.
Every Client Has a Story … So Write It Down
Every meeting is part of an ongoing client story that is not only unique, but also critical to their financial well-being.

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