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Given the continuing growth of advicers who fall under these new IAR CE Requirements, the Kitces platform is not only continuing to offer IAR CE (along with all of its other CE types) through its Nerd's Eye View blog articles, but, starting this year, has also expanded IAR CE eligibility to our webinars as well.
House of Representatives and is now being considered in the Senate would increase the number of firms classified as “small entities” and would require the SEC to assess the impact of proposed regulation on this newly enlarged class of investment advisers (which tend to have fewer compliance staff and resources available compared to larger (..)
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Corporate Engagement Spotlight: Ethical AI Practices ajackson Thu, 04/22/2021 - 11:37 Right now, as you read this, there are computers and network servers all over the world pondering one topic: you. And if and when regulatory frameworks solidify, the compliance requirements may inadvertently lead to rising concentration risk in the industry.
Corporate Engagement Spotlight: Ethical AI Practices. Ethical AI is a term used throughout this discussion, loosely defined as development and delivery of AI products and services that empower employees, produce fair and just outcomes for stakeholders and generate other positive outcomes for society. Thu, 04/22/2021 - 11:37.
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Understand why compliance, engagement, and tracking success are vital for your social media efforts. If you want to share articles that highlight your expertise and keep people informed about industry news, LinkedIn is a good choice. Share articles related to your industry. Also, consider the type of content you want to share.
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There was an indexing system envisioned by Brent Weiss of Facet Wealth, described in this article by Bob Veres. What about ethics? I have several issues with the methodology, namely: The advisor must have an “acceptable compliance record.” Ethical actions that financial advisors take. Impact on the client?
I was recently featured in a MarketWatch article about how to find a good financial advisor. Ethical actions Low cost advisors Flat fee advisors Advisors for small accounts Advice only planners Hourly planners I can’t say it enough – you have to do your own research. For advise on such matters, contact a legal or compliance advisor.
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It includes sharing helpful things like blog posts, articles, and updates on social media. It is important to manage compliance and regulations correctly. It will also help you grow steadily while staying true to ethical standards. When you give valuable insights, tips, and success stories, you gain trust from potential clients.
Wright: Yes, So yes, is the quick answer, the more convoluted answer would be that we should control internally… We’re a fraternity of ethics and competency testing that should be different from the SEC. Salaske: Right, now.
MCCARTHY: I’d back up actually a little bit further in thinking about how did I get there, because I don’t think it was very obvious actually that I would come out of Yale with an ethics, politics and economics degree — RITHOLTZ: Perfect really, right? MCCARTHY: — and end up in M&A on Wall Street.
Get ready for a ride as we examine it from all angles: regulatory, ethically, intellectually, etc. If we are comparing them to the Utopian idea of what a fraternity of ethics and competence testing should be, then we should find a way to implement it because daydreaming about what it ought to be is less useful.
From identifying deductions to ensuring compliance, navigating tax complexities can quickly become overwhelming. While certifications are an important factor, membership in professional associations can also signal additional education and ethical standards. How do you assess an accounting firms reputation?
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