Nerd's Eye View
JULY 30, 2025
But the same capabilities that make AI so useful – namely, its ability to analyze and generate human-like content at scale – also introduce complex compliance and regulatory risks. Recordkeeping is another key compliance obligation. However, this doesn't mean that AI tools must be avoided altogether.
Nerd's Eye View
DECEMBER 17, 2024
What's unique about Fran, though, is how she decided to transition from the independent broker-dealer model to a 'supported independence' corporate RIA platform in order to avoid the compliance headaches involved in being a totally independent RIA while reducing the drag of platform fees on her firm's profitability by finding a platform that wouldn't (..)
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Nerd's Eye View
JUNE 4, 2025
This creates a host of challenges tied to client privacy laws and the advisor's contractual obligations to their former firms.
Nerd's Eye View
JUNE 10, 2025
Leila is the founder of My RIA Lawyer, a compliance and legal services firm based in Alpharetta, Georgia, that serves RIAs, broker-dealers, and other financial services companies. My guest on today's podcast is Leila Shaver.
Nerd's Eye View
DECEMBER 18, 2024
Maintaining adequate books and records is a cornerstone of compliance for all investment advisers. For financial planning services, a similar approach to documentation can be applied to support regulatory compliance from the start of client engagement through all the steps that follow.
Wealth Management
JULY 8, 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 Charles Schwab bank branch Mutual Funds Schwab Expands Roster of No Transaction Fee Mutual Funds Schwab Expands Roster of No Transaction Fee Mutual (..)
Wealth Management
JUNE 26, 2025
The Diamond Podcast for Financial Advisors: 10 Ways Top Advisors Are Growing Their Businesses The Diamond Podcast for Financial Advisors: 10 Ways Top Advisors Are Growing Their Businesses A “Top 10” list of firm-level innovations and grassroots methodologies from some of the most successful advisors, teams and firms in the business.
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