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DoL’s Retirement Security Rule & PTE 2020-02 Amendment: What Advisers Need to Know Now About Giving Rollover Advice After Sept 23, 2024

Nerd's Eye View

It also covers many types of investments, including annuities, fixed-indexed annuities, CDs and other banking products, digital assets, commodities, and real estate, whereas previous rules like Reg BI and PTE 2020-02 applied only to securities like stocks, bonds, and funds.

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Mariner Hires M&A Lead Rob Sandrew to Oversee $40B Independent Channel

Wealth Management

Mariner launched its independent channel in 2020, offering back-office support, practice management, marketing, investment and compliance to affiliated advisors. Number 8860726. Marble joins from Private Advisor Group, where he was head of business development and advisor growth and engagement. The Overland Park, Kan.-based

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Top Compliance Challenges Financial Advisors Face

BlueMind

Category: Compliance. The Significance Of Financial Compliance Financial compliance requires all actions, procedures, guidelines, and business culture to abide by the rules and regulations set by the regulatory authorities of the financial market. Related: Compliance and Automation – An Ideal Unison!

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Deals & Moves: Focus Partners Wealth Merges in $5.6B California RIA

Wealth Management

Podcasts & Videos CE Webinars Research Newsletters Subscribe Subscribe News Related Topics RIA IBD Wirehouse RPA Insights & Analysis Regulation & Compliance Career Moves Recent in News See all thumbnail Career Moves J.P. Number 8860726. Morgan Names New Global CEO of Private Bank J.P.

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What Triggers an IRS Audit?

Harness Wealth

An IRS audit is a formal review of your financial records to verify their accuracy and compliance with tax laws. of individuals earning $10 million or more audited by the IRS between 2012 and 2020. The IRS carefully scrutinizes these deductions to ensure compliance with strict valuation and documentation requirements.

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The Return Of IAR Ethics CE Day And The State Of The (Nerd’s Eye View) Blog

Nerd's Eye View

Yet the need for advisor education – and the regulatory requirements to get it (in the form of Continuing Education obligations) – never ends, with the latest focus for most financial advisors being on the ongoing expansion of NASAA's 2020 Model Rule that implemented the first Investment Advisor Representative (IAR) requirements to get (..)

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Market Commentary: Seasonal Tailwinds Ahead, but First an Election

Carson Wealth

We will say this about the election — we could see some market volatility this week, although the extra days it took to determine the winner in 2020 actually saw market strength. Compliance Case # 02490965_110424_C The post Market Commentary: Seasonal Tailwinds Ahead, but First an Election appeared first on Carson Wealth.