Nerd's Eye View

MARCH 17, 2025

This is largely because, for financial advisors, it's not 'just' about capturing notes from the client meeting itself, but also about managing everything that follows: recording meeting notes in the CRM for compliance purposes, assigning post-meeting tasks to the team, and sending the client a post-meeting recap email.

Financial Advisor 147

Financial Advisor Clients Financial Planning Professional Services 147

Abnormal Returns

DECEMBER 26, 2022

investmentnews.com) Practice management Why firms need to make compliance an ally, not an obstacle. riaintel.com) A national 401(k) plan is closer to reality than you think in the 'Retirement Savings for Americans Act of 2022.' (riabiz.com) Don't be surprised if Schwab ($SCHW) makes more deals like this. morningstar.com).

Risk Tolerance 241

Risk Tolerance Financial Planner Financial Advising Compliance 241

Trade Brains

JUNE 11, 2025

HDB Financial Services must go public as a regulatory mandate, being categorized under the “Upper Layer” of NBFCs per RBI’s October 2022 circular. RBI requires all such NBFCs to be listed within three years, making the September 2025 deadline crucial for compliance.

Electronics 85

Electronics Engineering Financial Services Sales 85

FMG

MAY 30, 2025

The Top 5 Advisor Texting Adoption Roadblocks (And Why They’re Myths) “Compliance concerns” Built-in archiving and supervision tools solve this completely. Leadership worried about advisor resistance, compliance complexity, and client acceptance. They couldn’t have been more wrong about the timeline.

Communication 52

Communication Financial Advisor Clients Compliance 52

Abnormal Returns

SEPTEMBER 26, 2022

standarddeviationspod.com) Future Proof Lisa Shidler, "Future Proof 2022's festival-style event was a hit and will return next year to the same Huntington Beach coastal location." riabiz.com) Three positives, and three negatives, from the 2022 Future Proof festival. riabiz.com) Compliance Many clients want to text with their adviser.

Tax Planning 130

Tax Planning Startup Compliance Financial Planning 130

XY Planning Network

DECEMBER 19, 2022

As 2022 comes to a close, we rounded up our top 10 most-viewed blogs published this year. 5 MIN READ. Over the past year, we've published articles written with one purpose in mind: to help independent financial advisors be successful.

Financial Advisor 102

Financial Advisor Fee Only Financial Planner Financial Planning 102

Brown Advisory

APRIL 13, 2022

Expats: Tax Compliance mhannan Wed, 04/13/2022 - 06:37 We help U.S.-connected Topics we plan to cover in this series are: Tax Compliance Problematic assets Trusts Roles and responsibilities Transatlantic marriages U.S./U.K. tax net In this post, we tackle tax compliance. Pitfalls for U.S. tax systems. tax returns.

Compliance 52

Compliance Taxes Accounting Investment Planning 52

Carson Wealth

DECEMBER 2, 2024

In the past decade it has been only the 10 th best month, thanks in part to a 6% drop in 2022 and a 9% crash in 2018. Compliance Case # 02531673_120224_C The post Market Commentary: ‘Tis the Season — Five Things to Know About Markets in December appeared first on Carson Wealth.

Marketing 76

Marketing Marketing Economy Compliance 76

MarketWatch

APRIL 17, 2023

billion in revenue between 2017 and 2022 serving U.S. Today’s action, yet again, makes plain that the crypto markets suffer from a lack of regulatory compliance, not a lack of regulatory clarity,” said SEC Chair Gary Gensler, in a statement. The SEC alleged that Bittrex earned at least $1.3

Commission 98

Commission Compliance Marketing Marketing 98

MarketWatch

MARCH 20, 2023

SI on Monday said it had received a letter from the New York Stock Exchange notifying the company that it had breached the exchange’s listing standards after the bank failed to file its 2022 annual report in a timely manner.

Compliance 76

Compliance Banking Marketing Marketing 76

Carson Wealth

APRIL 21, 2025

The language is very similar to what Powell used to say back in 2022 and 2023, when they were raising rates. Powell and the Fed were willing to do what it takes in 2022 2023 to tame inflation, even at the expense of the labor market. to above 4.6% (thankfully, it didn’t go higher than 4.2%).

Marketing 78

Marketing Marketing Economy Investing 78

Nerd's Eye View

JANUARY 17, 2024

Finally, a 4th prompt reviews transcripts from the perspective of a compliance officer to ensure that David and his team adhere to regulatory standards and their own internal policies. A 3rd prompt reviews annual review meeting transcripts, capturing client quotes from key review areas, which can then be fed to a CRM.

Financial Advice 130

Financial Advice Financial Planning Clients Planning 130

Carson Wealth

JUNE 9, 2025

Current levels are similar to what we saw in mid-2022, when recession risks were elevated but the economy never plunged into an actual recession. This was a big reason why we didn’t call for a recession anytime between 2022 and 2024. We have a big problem in housing and some of that is because of what happened soon after Covid.

Economics 69

Economics Marketing Marketing Economy 69

Carson Wealth

MARCH 17, 2025

The S&P 500 peaked on February 19, 2020 before the Covid bear market and then we had another bear market in 2022. Compliance Case # 7749463.1_031725_C The post Market Commentary: How to Think About the S&P 500 Correction appeared first on Carson Wealth. Weve never seen back-to-back bears so close (only 1.9

Marketing 84

Marketing Marketing Economy Portfolio 84

Carson Wealth

DECEMBER 9, 2024

This current bull market is nearly 26 months old and is now up more than 70% from the mid-October 2022 lows. It was strong even in 2022 and 2023, which was another clue that a recession wasnt imminent. Looking at the evidence, we dont think so. For reference, the 2019 average was 166,000.

Marketing 69

Marketing Marketing Economy Manufacturing 69

Nerd's Eye View

JULY 19, 2023

In 2022, the first states to adopt the new Model Rule implemented their IAR CE requirements, and by 2024, at least 15 states will have begun requiring IAR CE. To address this issue, the North American Securities Administrators Association (NASAA) in 2020 released a Model Rule creating the first-ever CE requirements for IARs.

Education 49

Education Investing Investments CFP 49

Harness Wealth

APRIL 4, 2025

How to Anticipate and Navigate Property Tax Scenarios for Businesses ( Carl Hoemke , CPA Practice Advisor) Property taxes and business license compliance present a complex landscape, especially when significant business events involving mergers, acquisitions, or expansion occur. During fiscal years 2022 through 2024, 87.3%

Taxes 52

Taxes License Banking Government 52

Harness Wealth

FEBRUARY 5, 2025

The Internal Revenue Service (IRS) adjusts FEIE exclusion amounts annually based on inflation, with the exclusion amounts for the past 5 years being as follows: Tax Year FEIE Amount 2025 $130,000 2024 $126,500 2023 $120,000 2022 $112,000 That said, the FEIE only applies to foreign earned income, with foreign passive income ineligible for exclusion.

Taxes 52

Taxes Compliance Accounting Government 52

Indigo Marketing Agency

SEPTEMBER 6, 2022

We’re happy to announce that Indigo Marketing Agency was featured in Bob Veres’s August 2022 issue of Inside Information , a go-to resource for financial planning, financial advisor, and investment advisor professionals. So how do you effectively use the new testimonial rule in your marketing without running into compliance issues?

Marketing 97

Marketing Marketing Financial Advisor Compliance 97

Brown Advisory

JANUARY 20, 2023

We work closely with our clients and their outside professional advisors to identify when FBAR filings are required and to help facilitate compliance. In 2022, a professor with dual U.S. How the future of finance affects FBAR requirements There are new kinds of financial accounts that so far have not required compliance with FBAR.

Accounting 100

Accounting Compliance Taxes Banking 100

Carson Wealth

DECEMBER 11, 2023

The improvement in housing prices has quietly created enormous wealth, while stocks have had a tremendous run despite the setback in 2022. Compliance Case # 02018534_121123_C The post Market Commentary: Things You Don’t See in a Recession appeared first on Carson Wealth. While debt is higher in places, net wealth has been climbing.

Marketing 143

Marketing Marketing Economy Compliance 143

Carson Wealth

JANUARY 8, 2024

So, although last year was quite the run, we need to remember just how bad 2022 was. The last time the S&P gained 20% (2021), stocks moved into a bear market the following year (2022), but the nine years before that (and 10 of the last 11) markets gained after a 20% year. million jobs. While that is lower than the 4.8

Marketing 96

Marketing Marketing Economy Numbers 96

Good Financial Cents

DECEMBER 14, 2022

Chief Compliance Officer. A chief compliance officer ensures financial institutions adhere to all applicable laws and regulations. To keep a business running smoothly and help avoid costly non-compliance fees, CCOs monitor company policy and compliance. Bureau of Labor Statistics (2022, Sep.8) Insurance Advisor.

Budgeting 88

Budgeting Compliance Accounting Insurance 88

Carson Wealth

JANUARY 13, 2025

It was strong even in 2022 and 2023, which was another clue that a recession wasnt imminent. Compliance Case # 7521978.1._011325_C If mortgage rates stay elevated into the spring home-buying season, thats a potential drag on the economy. For now, the only relief is that housing weakness has not crept into construction employment.

Marketing 76

Marketing Marketing Economy Compliance 76

Carson Wealth

AUGUST 2, 2022

Though the bill’s official moniker is the Inflation Reduction Act of 2022, how much the bill will directly impact inflation today or in the long run is up for debate. . This also applies to the IRS funding, which provides extra money for increasing compliance , ( i.e., raising tax revenue ). .

Taxes 98

Taxes Budgeting Compliance Medical 98

Trade Brains

SEPTEMBER 26, 2024

NSE also oversees compliance by its members and listed companies with relevant rules and regulations. Financial Highlights Of NSE IPO Financial Year Mar 2020 Mar 2021 Mar 2022 Mar 2023 Mar 2024 Revenue (Crores) 3,508 5,625 8,929 11,856 14,780 Net Profit (Crores) 1885 3573 5198 7356 8306 EBITDA(Crores) 2,706 4690.98 crores in 2024.

Compliance 90

Compliance Banking Management Marketing 90

Trade Brains

DECEMBER 15, 2022

The IPO will open for subscription on December 19th, 2022, and close on December 21st, 2022. In this article, we will look at the KFin Technologies IPO Review 2022 and analyze its strengths and weaknesses. Corporate Action Processing, Compliance / Regulatory Reporting Recordkeeping MIS, Virtual Voting e-AGM, e-Vault.

Compliance 52

Compliance Financial Services Assets Sales 52

Harness Wealth

MARCH 27, 2025

Due diligence involves the following: Identifying potential tax risks: Its important to review the target fund’s tax returns, partnership agreements, and other relevant documents to identify any potential tax liabilities or compliance issues. The role of technology: Technology is increasingly the foundation of efficient tax compliance.

Taxes 52

Taxes Tax Planning Assets Compliance 52

Trade Brains

SEPTEMBER 15, 2023

Year Operating Profit Margin Net Profit Margin 2019 8.69% 2.55% 2020 7.93% 4.87% 2021 4.83% -2.68% 2022 9.13% 6.81% 2023 11.41% 7.63% Return Ratios: RoCE and RoE The company’s performance appears to be positive based on its return ratios. 4 2022 0 17 2023 0.05 2021 454.59 -11.99 4 2020 0.33 6 2021 0.12 crores during FY23.

Planning 105

Planning Manufacturing Compliance Commission 105

Carson Wealth

SEPTEMBER 11, 2023

in 2022 during a horrible bear market and 4.8% before the pandemic and above the historical average of 3.1% (1947-2022). As of the fourth quarter of 2022, the major holders of U.S. Compliance Case # 01897809-091123_C_T The post Market Commentary: Four Big Questions appeared first on Carson Wealth. debt, while the U.S.

Marketing 93

Marketing Marketing Government Economy 93

Carson Wealth

AUGUST 12, 2024

In the end, Monday was the worst day since September 2022, while Thursday was the best day since November 2022. Compliance Case # 02362252_081224_C The post Market Commentary: Up and Down Week Leaves the S&P 500 Near Flat appeared first on Carson Wealth. Putting Things in Perspective The S&P 500 had pulled back 8.5%

Marketing 95

Marketing Marketing Numbers Economy 95

Carson Wealth

JANUARY 16, 2024

The four-year election market cycle, which has held largely true to form in 2022 and 2023, also signals a solid year, especially when we have a first-term president (independent of party). Expectations for a recession and a continuation of the dreary returns of 2022 were widespread. Aggregate Bond Index would be perfectly satisfactory.

Investing 96

Investing Investments Marketing Marketing 96

Carson Wealth

AUGUST 5, 2024

The unemployment rate came in above expectations at 4.3%, the highest level since early 2022. Compliance Case # 02351667_080524_C The post Market Commentary: Risks Increase, But Don’t Overreact to the Turbulence appeared first on Carson Wealth. Source: St.

Marketing 141

Marketing Marketing Economy Numbers 141

Carson Wealth

SEPTEMBER 18, 2023

As the chart below shows, the primary driver of disinflation over the past year, from a peak of 9% in June 2022 to 3% in June 2023, was falling energy prices. Housing inflation ran at an annualized pace of 8-10% between June 2022 and February 2023. Inflation, as measured by the Consumer Price Index (CPI), rose 0.6%

Marketing 96

Marketing Marketing Economy Retail 96

Carson Wealth

MARCH 3, 2025

Those other times we saw fear similar to this were times like the recession and near bear market of 1990, October 2008 and March 2009 during the Great Financial Crisis, and the end of the bear market in 2022. In other words, stocks were down substantially before fear truly spiked, making what we are seeing now truly rare and uncharacteristic.

Marketing 78

Marketing Marketing Economy Government 78

Carson Wealth

OCTOBER 14, 2024

Last Saturday marks the official two-year birthday of the bull market that started on October 12, 2022. As long-time readers know, Carson Investment Research has been on record since November of 2022 that the lows were indeed in and prices were going higher, and that the economy would surprise to the upside and avoid a recession.

Marketing 96

Marketing Marketing Numbers Food 96

Carson Wealth

JANUARY 29, 2024

In 2022, positive economic data typically led to a sell-off in the stock market, and weak data often led to a rally. Another Reason to Rejoice It took more than 15 months for the S&P 500 to rebound from the lows of the bear market in October 2022 to the new highs set two weeks ago. This was a long wait for investors.

Marketing 97

Marketing Marketing Economy Government 97