Nerd's Eye View

OCTOBER 11, 2023

However, this "Compliance Rule" did not technically require that the annual compliance review of policies and procedures be conducted in writing, even though advisers were required to maintain records if they did document such reviews in writing! the SEC's new marketing rule).

Compliance 195

Compliance Financial Planning Planning Investing 195

Prosperity Coaching

AUGUST 23, 2022

Many industries have moved their promotions online to take advantage of inbound marketing opportunities, yet financial advisors are slow to follow, often due to compliance regulations. Since 2004, I have been a Financial Advisor […].

Financial Advisor 78

Financial Advisor Compliance Marketing Marketing 78

Nerd's Eye View

JUNE 21, 2023

In addition to collecting the required reports, the firm’s Chief Compliance Officer (CCO) also has certain review requirements.

Ethics 183

Ethics Fiduciary Duty Compliance Clients 183

Carson Wealth

JANUARY 8, 2024

2023 Stock Gains Suggest a Solid (But Not Spectacular) 2024 The S&P 500 finally fell last week after nine consecutive weeks of gains, the longest weekly winning streak since 2004. Compliance Case # 02059807_010824_C The post Market Commentary: Slow Start For Stocks Despite Solid Job Gains appeared first on Carson Wealth.

Marketing 96

Marketing Marketing Economy Numbers 96

Carson Wealth

NOVEMBER 13, 2023

annual pace between 1996 and 2004. Compliance Case # 01979041_111323_C The post Market Commentary: Fundamentals May Be Aligned for Solid Stock Gains in 2024 appeared first on Carson Wealth. Fast forward to 1996 and productivity began to advance. Wage growth ran at a 4.5% This was because productivity climbed to a 3.1%

Marketing 96

Marketing Marketing Economy Startup 96

Random Roger's Retirement Planning

APRIL 8, 2023

One of the partners of the firm where I have been since 2004 was found to have done illegal trading and he was immediately terminated. Thankfully a few weeks later they did. The final challenge since last April happened with my day job. The other partner also has a serious problem that could be described as collateral damage.

Insurance 88

Insurance Compliance Engineering Planning 88

Brown Advisory

DECEMBER 5, 2023

An unassuming shorthand (from 20 years ago) A 2004 report published by the United Nations is often given credit for popularizing “ESG” as a shorthand for the myriad issues in environmental, social, and governance categories. Here is an attempt to invoke fundamental investing basics to clarify exactly what we aspire to deliver for our clients.

Fiduciary Duty 52

Fiduciary Duty Government Clients Investing 52