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Advisors Disappointed with Technology and Compliance at Broker-Dealers

Friday, Dec 05 2014
Regulatory & Compliance
Written by  PFA News

In a recent Wealth Management survey, relatively low ratings for technology and compliance bogged down advisors’ satisfaction levels with their traditional broker-dealers. So reports Wealth Management.

In addition, at traditional wirehouses, 37% of brokers said they have been pressured to sell banking products or loans, which was a 7 percentage point increase from 2013.

Read the full article from Wealth Management.

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