The Big Picture

MAY 20, 2023

Previously she was COO, General Counsel, Chief Administrative Officer, and Global Head of Legal and Compliance. Before joining the firm in 2010 as Chief Compliance Officer for Man GLG, Robyn held Sr. A list of her favorite books is here ; A transcript of our conversation is available here Tuesday.

Compliance 312

Compliance Communication Government Banking 312

The Big Picture

APRIL 22, 2023

 This week, we speak with Brian Hamburger , founder and chief executive officer of the business / regulatory compliance consultancy MarketCounsel , as well as the founder and chief counsel of the Hamburger Law Firm, a boutique law firm that focuses on investment and securities industry matters.

Compliance 299

Compliance Wealth Management Consulting Investing 299

Abnormal Returns

DECEMBER 23, 2024

citywire.com) Compliance A comprehensive look at the books and record requirements for RIAs. (latticework.com) Q&A A Q&A with David Lau, founder and CEO at DPL Financial Partners. thinkadvisor.com) A Q&A with Ritik Malhotra, co-founder and CEO, of Savvy Wealth.

Financial Advising 147

Financial Advising CFP Compliance Retirement 147

XY Planning Network

SEPTEMBER 16, 2024

Keeping up with bookkeeping is mandatory for tax & regulatory compliance, informed decision-making, and accurate financial tracking. Your business could be audited at any point in the year, and having up-to-date books is essential to passing that audit. And remember, the earlier, the better to avoid the last-minute frenzy.

Compliance 101

Compliance Taxes Fee Only 101

The Big Picture

AUGUST 26, 2022

As often happens in these circumstances, the ex-employee’s book gets divided up among the remaining brokers, whose jobs that weekend becomes retaining those accounts and their assets. He has high client retention and has generated respectable performance for those customers.

Accounting 353

Accounting Government Assets Management 353

Nerd's Eye View

FEBRUARY 16, 2024

Read More.

Financial Planner 246

Financial Planner Fee Only CFP Compliance 246

Wealth Management

JUNE 20, 2025

His work has appeared in The New York Times , WealthManagement.com , Financial Planning , RIABiz , InvestmentNews , PC Magazine , numerous blogs and several books, including Technology Tools for Today's High Margin Practice. Number 8860726. He has also been a speaker and moderator at numerous industry conferences.

Wealth Management 179

Wealth Management Management Financial Advisor Clients 179

Trade Brains

JUNE 11, 2025

RBI requires all such NBFCs to be listed within three years, making the September 2025 deadline crucial for compliance. LG Electronics India LG Electronics India is launching a book-built IPO comprising an Offer for Sale of 10.18 The issue is via book-building, with pre-issue shareholding standing at 28.14 crore shares.

Electronics 85

Electronics Engineering Sales Financial Services 85

Wealth Management

JUNE 27, 2025

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 Marc Schechter RIA Q&A: What Was Behind Schechter’s Decision to Sell to Arax? Number 8860726.

Wealth Management 172

Wealth Management Estate Planning Startup Financial Planning 172

Wealth Management

JULY 3, 2025

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. based advisor Brandon Dixon-James has moved his book of business from Osaic to LPL Financial.

Wealth Management 156

Wealth Management Recruitment Estate Planning Financial Advisor 156

XY Planning Network

AUGUST 15, 2022

Let’s dive into several ways to keep your compliance organized beyond the filing cabinet. It can evoke a certain amount of nerves on its own (especially if it’s your first time!) Double that stress if you are not well organized.

Compliance 98

Compliance Fee Only Financial Advisor 98

Nerd's Eye View

SEPTEMBER 26, 2023

What's unique about Bridget, though, is how, as a solo advisor, she found herself overwhelmed with the pressures of having to manage different aspects of her business while also providing great service to her clients as she quickly grew to $77M of AUM in 7 years, and has decided to not to "scale" her firm by hiring more advisors but instead leverage (..)

Financial Planning 246

Financial Planning Financial Advisor Clients Planning 246

Wealth Management

JULY 2, 2025

David is a co-author of a book on estate planning, Drafting the Estate Plan: Law and Forms. Number 8860726. He is a member of the Tax Management Estates, Gifts and Trusts Advisory Board, and an Editorial Advisory Board Member of Trusts & Estates Magazine for which he currently writes the monthly "Tax Update" column.

Distribution 186

Distribution Estate Planning Wealth Management Planning 186

Diamond Consultants

DECEMBER 4, 2024

The ability to inherit a book is great, but if it ties you to the firm for 7 years, can you live with that? In the event the book ever needs to be transferred out of the firm, simplicity often means faster asset transitions. Protect Yourself We live in a world of zero-tolerance compliance and risk management.

Compliance 52

Compliance Clients Education Retirement 52

Indigo Marketing Agency

FEBRUARY 19, 2025

Why Hiring a Digital Marketing Agency for Financial Services Is the Key to Growing Your Business In the mid-2000s, digital marketing was just one of many mediums local businesses were starting to utilize to growalong with newspaper ads, phone book ads, direct mail ads, radio and TV ads, billboards, door-to-door sales, and more.

Financial Services 59

Financial Services Financial Planner Advertising Compliance 59

Sara Grillo

FEBRUARY 23, 2024

Question from a subscriber: “Compliance is impossible to get my content through. My financial advisor compliance department take forever and nitpick every little thing!” If you steer clear of the obvious violations, it’s actually pretty easy to get your content approved by your compliance officer.

Compliance 52

Compliance Financial Advisor Media Clients 52

Diamond Consultants

DECEMBER 16, 2024

Multigenerational teams have several options for monetizing and transitioning the book from one generation to the next. Namely, even when senior advisors have a rockstar inheriting advisor in place, these Gen 2 advisors seldom have the capital at hand to facilitate the purchase of the book in a timely and orderly fashion.

Wealth Management 52

Wealth Management Recruitment Retirement Valuation 52

Wealth Management

JUNE 20, 2025

His work has appeared in The New York Times , WealthManagement.com , Financial Planning , RIABiz , InvestmentNews , PC Magazine , numerous blogs and several books, including Technology Tools for Today's High Margin Practice. Number 8860726. He has also been a speaker and moderator at numerous industry conferences.

Wealth Management 138

Wealth Management Management Financial Advisor Estate Planning 138

Million Dollar Round Table (MDRT)

APRIL 30, 2024

You may face two challenges though: Compliance. You assemble the audience, book the location and deliver the presentation. They only want you to deliver preapproved, “canned” seminars. Building the audience. Speaking is fun, but filling the room for a seminar is hard work. She distinguished between two similar options: Seminars.

Insurance 105

Insurance Compliance Financial Advisor Marketing 105

Trade Brains

JULY 13, 2025

Anthem Biosciences Limited is launching its Initial Public Offering (IPO) to raise funds through a 100 percent book-built offer. Morgan India Private, and Nomura Financial Advisory and Securities (India) Private Limited are the book-running lead managers. Dependent on regulatory approvals and compliance for manufacturing facilities.

Pharmaceutical 59

Pharmaceutical Manufacturing Medicine Sales 59

Trade Brains

JULY 10, 2025

Effective Yield of up to 10.50% per annum Credit Rating: Crisil A+/ Stable by Crisil Ratings Limited Trading in dematerialized form only Allotment, in consultation with BSE Limited (the “ Designated Stock Exchange”) , shall be made on the basis of the date of upload of the application into the electronic book of BSE Limited.

Financial Services 52

Financial Services Compliance Wealth Management License 52

Wealth Management

JUNE 12, 2025

That might seem like the most straightforward task, but the night we flew to Massachusetts to start the tour, the hotel I had booked had changed hands and put up new signage the week before. Number 8860726. I also had to line up hotels along the way.

Wealth Management 237

Wealth Management Financial Planning Planning Financial Advisor 237

Trade Brains

JUNE 23, 2025

IndusInd Bank , Hero MotoCorp may be excluded IndusInd Bank, which has been under pressure for governance and compliance issues, is now facing the possibility of being excluded from the Nifty50, alongside auto major Hero MotoCorp.

Banking 52

Banking Compliance Investment Advisor Consulting 52

Indigo Marketing Agency

JUNE 17, 2025

Write like you’re actually talking to someone in your office, not like you’re writing a compliance manual. If you’d prefer to chat with our team about your needs, book a free strategy call today. Colton’s advice was simple but powerful: lower the professional wall. But that’s usually not the problem.

Financial Advisor 52

Financial Advisor Financial Planner Retirement Planning Compliance 52

Sara Grillo

JULY 12, 2024

Make sure you clarify to the publication that you will need additional time for your compliance to approve the copy before it is published. Compliance will have to review the proposed changes before you send the final draft. Make sure you can include a byline.

Compliance 98

Compliance Media Clients Consulting 98

Steve Sanduski

JANUARY 22, 2025

Typically people build their books however they build their books, some affinity, some set of relationships, and then maybe they grow more via referrals. The advisors are like, ‘I’m full,’ and even if they have multiple advisors or a G2, okay, now you have to feed those people. So the pace is going to slow down.

Wealth Management 52

Wealth Management Management Clients Valuation 52

Indigo Marketing Agency

SEPTEMBER 28, 2024

This could involve offering a lead magnet, such as an e-book or a consultation, which captures the prospect’s contact information and triggers a series of targeted follow-up emails. What are the best practices for compliance in social media for financial advisors?

Financial Advisor 95

Financial Advisor Media Compliance Sales 95

Harness Wealth

DECEMBER 30, 2024

The key differences between 83(i) and 83(b) elections The benefits and risks of an 83(i) election The eligibility criteria for an 83(i) election How to file an 83(i) election 83(i) compliance requirements for companies Is an 83(i) election right for you? What is an 83(i) election?

Taxes 52

Taxes Compliance Compensation Planning Financial Advisor 52

Trade Brains

SEPTEMBER 22, 2023

Price to Book Value (%) 6.52 Price to Book Value (%) 2 Net Profit Margin (%) 8.24 Price to Book Value (%) 2.6 JP Morgan Holding (%) 2 Debt to Equity (%) 0 Price to Book Value (%) 0.3 Price to Book Value (%) 4.76 Price to Book Value (%) 4.76 Stock P/E (%) 55.16 ROE (%) 15.46 ROCE (%) 19.83 Cr in FY22 to Rs.

Portfolio Analysis 116

Portfolio Analysis Portfolio Healthcare Banking 116

Diamond Consultants

APRIL 15, 2025

Also, decide if you want to leave certain clients behindits a great chance to pare down the book to focus on high-value relationships and to make room for new business (a process we call shrink to grow ). Team:A move is hard work for advisors and support staff alike, so its important that the entire team see the value to them.

Clients 52

Clients Recruitment Compliance Wealth Management 52

Midstream Marketing

DECEMBER 6, 2024

Compliance and Security for RIAs Compliance and data security matter a lot in the financial services industry. By focusing on compliance and security, you can earn your clients trust. This could take them to your website, help them book a consultation, or download a helpful resource. A lot of clients use these devices.

Marketing 52

Marketing Marketing Media Engineering 52

Harness Wealth

APRIL 16, 2025

This strategy allows effective management of tax liability by controlling when these significant deductions hit the books. Meeting safe harbor provisions requires either paying 90% of current year tax liability or 100-110% of prior year taxes, providing a clear framework for compliance.

Startup 52

Startup Taxes Tax Planning Transportation 52

Norman Marks

MARCH 1, 2023

I am pleased to announce that my latest book is now available on Amazon (see below). The intent is to help business leaders and information security practitioners discuss cyber risk in business rather than technical language, enabling executives and the board to make informed and intelligent business decisions.

Management 119

Management Compliance Government 119

Sara Grillo

MAY 31, 2024

sigh) Take these actions TODAY: There are very specific rules about how to actively solicit a Google review, from a compliance perspective. Ask your compliance officer or lawyer. And by the way, remember to consult with your compliance officer or lawyer before taking any actions regarding Google reviews.

Financial Advisor 59

Financial Advisor Clients Compliance Consulting 59

Trade Brains

JUNE 17, 2025

The decision to exclude a stock from F&O contracts can be based on various factors, including low liquidity, high volatility, or non-compliance with regulatory requirements. However, the exchanges periodically review and reassess the eligibility of stocks for inclusion in F&O trading.

Retail 52

Retail Banking Manufacturing Electronics 52

Carson Wealth

DECEMBER 9, 2024

Still, this year will go down in the record books as a year that saw a lot of major milestones. Compliance Case # 02542778_120924_C The post Market Commentary: Stocks Hit New Highs Amid a Year of Milestones appeared first on Carson Wealth. A diversified portfolio does not assure a profit or protect against loss in a declining market.

Marketing 69

Marketing Marketing Economy Manufacturing 69

Trade Brains

JUNE 16, 2025

Rulka Electricals Limited’s order book grew from Rs. Despite strong growth, the company faced margin pressure due to rising input costs, labor expenses, and increased compliance costs. crore in H1 FY25 to Rs. crore in H2 FY25, totaling Rs. crore for FY25, with pending orders to be completed by FY26. crore to Rs. crore to Rs.

Commission 59

Commission Compliance Clients Retail 59