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Ask Sandra: It's a New Year! How Do We Kick-Start Business Development for 2020?

Sandra Powers Murphy, author of The Road to AUM: Driving Assets Under Management through Effective Marketing and Sales, and CEO of Noble Ark Ventures, a business development and management consulting firm, provides the following 6 core elements to make 2020 your best year yet.

01.08.20
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Advertising Rule and the Cash Solicitation Rule
The SEC proposed major changes to the Advertising Rule and the Cash Solicitation Rule on Nov. 4. I
12.04.19
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SEC Proxy Voting Guidance
After years of research, OCIE exam findings and roundtable discussions, the SEC has issued guidance
12.04.19
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Simons Says
Examination Results for FY 2019 It’s too early for any information on the number of investment
11.06.19
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Compliant Advertising: Breaking it Down Part 3: Past Specific Recommendations
  This third article will focus on the DOs and DONTs of past specific recommendations. Just like we
11.06.19
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Simons Says
On Aug. 21, the SEC released, “Commission Guidance Regarding Proxy Voting Responsibilities of
09.04.19
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Risk Alert: Employee Supervision & Employing Personnel with Disciplinary Events
As part of the SEC’s focus on protecting retail investors, in 2017, they examined over 50 RIAs to
09.04.19
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Simons Says
There we were, on July 22, talking about disciplinary history policy, and OCIE’s Sept. 12, 2016
08.07.19
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Risk Alert: Common Reg S-P Deficiencies By Elizabeth Cope, SEC Compliance Solutions
Once again, the SEC has provided insight into exam deficiencies. This time, it’s regarding Reg S-P.
08.07.19
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Risk Alert: Use of Third Parties For Network Storage
As a reminder, a “Risk Alert” is the Securities and Exchange Commission’s way of giving you a heads
07.03.19