BlueMind
JULY 15, 2022
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!
Sara Grillo
SEPTEMBER 12, 2022
A $100 increase in the CFP annual certification fee spurred an industry outcry, leading many to question whether the designation is worth it or not. There are more than 92,000 CFP® certificants, as per the CFP Board’s 2022 measure. Is it time to say “FU” to your CFP designation? Are they getting a raw deal?
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Sara Grillo
SEPTEMBER 26, 2022
In Part Two of our two part series on the CFP Board, the heated debate continues. We’ll discuss these questions: The CFP Board has specifically stated that it wants the CFP® mark to be a requirement for anyone who practices financial planning. What do you believe the CFP Board’s role should be in the future?
Carson Wealth
JULY 12, 2022
The first step in the competency stairway is regulatory compliance. . The securities industry weaves the Financial Industry Regulatory Authority (FINRA) and state securities commissioners into a regulatory quilt, also requiring stockbrokers and their registered agents to pass registration exams and complete annual compliance training.
Sara Grillo
OCTOBER 21, 2022
Paraplanners can also hold various designations such as the CFP® certification , ChFC, Enrolled Agent, CPA, etc. One source interviewed for this article feels that a CFP® certificant who is a virtual paraplanner shouldn’t be charging less than $75/hour, which may then scale up with experience.
Sara Grillo
MARCH 22, 2024
Sara Grillo did not interview all the hundreds of thousands of advisors out there, Sara Grillo conducted research using Google and posted on social media. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advice on such matters, contact a legal or compliance advisor.
Sara Grillo
JULY 8, 2022
Judson Meinhart, CFP®, BFA . Admittedly I spend 30 minutes a day on social media, Twitter and LinkedIn, but focused on deliberately interacting and not just scrolling. Check emails, social media to respond: 15 minutes. Work on outstanding compliance tasks: 1 hour. So please subscribe!
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