Harness Wealth

NOVEMBER 12, 2024

Note that gifting private company stock may require a professional appraisal to establish fair market value and ensure compliance with IRS regulations. Before making any moves, consult with a tax advisor to understand the implications and ensure compliance with all legal requirements. What is the Lifetime Gift Tax Exemption?

Tax Planning 52

Tax Planning Taxes Planning Estate Planning 52

Midstream Marketing

JANUARY 19, 2025

Yes… but if that’s the path you want to go down, the Securities and Exchange Commission would like to have a word with you. " So if you don’t fully understand it today (or if you suddenly realize you’re not in compliance), you still have a lot of time to get things right.

Advertising 40

Advertising Marketing Marketing Investment Advisor 40

Harness Wealth

JANUARY 29, 2025

Transaction costs: Frequent trading to harvest losses can result in higher costs, including brokerage fees and commissions, and an increased risk of tracking errors. When you have limited expertise: tax-loss harvesting requires careful monitoring and compliance with IRS regulations. Is tax-loss harvesting right for you?

Taxes 52

Taxes Assets Portfolio Sales 52

Hubly

JULY 15, 2025

The Bigger Picture While NIGO errors may not trigger fines, they’re often tied to broader compliance issues, particularly in recordkeeping. Securities and Exchange Commission (SEC) has imposed hefty fines on firms for recordkeeping violations. Non-Compliance With Regulations Account opening must meet strict regulatory standards.

Compliance 52

Compliance Accounting Clients Communication 52

Trade Brains

JULY 22, 2025

That exit followed a settlement with the Commodity Futures Trading Commission (CFTC), which concluded Polymarket had offered unregistered binary options to American users. Both entities are designed to ensure strict compliance and financial reliability. The company paid a $1.4

Marketing 59

Marketing Marketing License Compliance 59

Trade Brains

JUNE 25, 2025

That February settlement resolved past compliance issues. Thailand’s Securities and Exchange Commission took decisive action in late May. They appointed experienced finance executive Roshan Robert as U.S. Previously, OKX settled with the U.S. Department of Justice for $505 million. Rafique added it would “likely be in the U.S.”

Finance Expertise 59

Finance Expertise Compliance Commission Assets 59

SEI

JULY 18, 2025

Stratos supports a network of independent financial advisors by providing flexible affiliation models, including a hybrid option, and practice management consulting, operations, IT, and compliance services. 31, 2024, filed with the Securities and Exchange Commission.

Investing 52

Investing Investments Wealth Management Financial Advisor 52

Midstream Marketing

DECEMBER 10, 2024

Navigating Regulatory Compliance in Marketing For financial advisors, it is very important to follow rules. One good practice is to have a compliance officer check and approve all marketing materials before sharing them. It helps create a record for compliance. This information keeps prospective clients informed.

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 52

Wealth Management

JULY 11, 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 U.S. In late 2024, the U.S.

Wealth Management 220

Wealth Management Estate Planning Assets Fiduciary Duty 220

Nerd's Eye View

NOVEMBER 8, 2024

the Department of Labor's Retirement Security Rule and the Federal Trade Commission's ban on most non-compete agreements, both of which are currently blocked by courts) likely to be tabled under the new administration.

Financial Planner 189

Financial Planner Compliance Communication Clients 189

Wealth Management

JULY 18, 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 Resonant Capital Advisors CEO and President Benjamin Dickey RIA $2.2B Number 8860726.

Planning 181

Planning Estate Planning Wealth Management Retirement Planning 181

Trade Brains

JUNE 16, 2025

Additionally, an industrial project in Tamil Nadu requires the procurement, installation, and commissioning of PT panels, LT cables, and fixtures, valued at Rs. Despite strong growth, the company faced margin pressure due to rising input costs, labor expenses, and increased compliance costs. crores, also to be completed in 8 months.

Commission 59

Commission Compliance Clients Retail 59

Trade Brains

JUNE 9, 2025

It is said to extract Rs 25 flat for orders below Rs 400 and Rs 50 flat for orders above Rs 400, implying a commission rate of 8 percent to 15 percent, which is far less than what Zomato and Swiggy charge between 15-30 percent of the total order value. The pilot phase has started, where Rapido has started onboarding restaurants.

Food 52

Food Planning License Electronics 52

Nerd's Eye View

SEPTEMBER 13, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the SEC this week fined 4 RIAs for violations of its marketing rule related to their claims that they offered 'conflict-free' financial advice.

Financial Planner 246

Financial Planner Compliance Fee Only Communication 246

Nerd's Eye View

AUGUST 5, 2022

The guidance indicates that, despite early fears that Reg BI was ‘overly accommodating’ to the brokerage industry, the Commission is expecting that reducing conflicts of interest should be an ongoing task for broker-dealers rather than a one-time compliance disclosure change, and that brokerage firms will want to ‘show their work’ (..)

Financial Planner 246

Financial Planner Compliance Insurance Retirement Planning 246

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!

Compliance 98

Compliance Financial Advisor Certified Financial Planner Clients 98

Nerd's Eye View

SEPTEMBER 23, 2022

While the new rule allows financial advisors to proactively use testimonials (from clients), endorsements (from non-clients), and highlight their own ratings on various third-party websites, the SEC’s warning suggests that advisory firms will want to take care to abide by the compliance requirements linked to the new rule.

Financial Planner 246

Financial Planner Compensation Planning Insurance Compliance 246

Nerd's Eye View

JANUARY 13, 2023

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the Federal Trade Commission has proposed a nationwide ban on noncompete clauses in employee contracts, aiming to give employees more freedom to change jobs within the same industry.

Financial Planner 241

Financial Planner Retirement Planning Retirement Compliance 241

Wealth Management

SEPTEMBER 19, 2022

The shareholder proposal filed by the pension funds urges Starbucks directors to commission and publicly release a third-party assessment of the company’s compliance with its stated commitments to honor workers’ collective bargaining rights.

Compliance 130

Compliance Commission 130

Nerd's Eye View

MAY 15, 2024

commissions), and who holds themselves out as a trusted adviser by either stating they are acting as a fiduciary or otherwise indicates that they are making individualized recommendations based on the investor's best interest.

Retirement 246

Retirement Commission Banking Financial Advising 246

Nerd's Eye View

OCTOBER 25, 2023

In 2019, the SEC released a Commission Interpretation that separated the obligation of RIAs to act in their clients' best interests into separate duties of care (to provide investment advice in the best interest of the client) and loyalty (to eliminate or disclose all potential conflicts of interest with the client).

Fiduciary Duty 246

Fiduciary Duty Commission Clients Accounting 246

MarketWatch

APRIL 17, 2023

Securities and Exchange Commission on Monday charged crypto trading platform Bittrex Inc. investors as a broker, exchange and clearing agency without registering these activities with the Commission, in violation of the law. The SEC alleged that Bittrex earned at least $1.3 billion in revenue between 2017 and 2022 serving U.S.

Commission 98

Commission Compliance Marketing Marketing 98

Nerd's Eye View

DECEMBER 6, 2023

While commission-based models remain in use, fee-for-service models (including AUM, hourly, retainer, and subscription) have become increasingly popular. Over the past several years, the financial services industry has undergone a tremendous evolution in how financial advisers deliver and charge for their services.

Investing 247

Investing Investments Retirement Planning Financial Advising 247

Nerd's Eye View

DECEMBER 7, 2022

But for many years, advisers looking for guidance from the Securities and Exchange Commission (SEC) regarding what kind of performance advertising was permissible had to rely on fairly general guidelines and SEC staff statements in the form of “no-action” letters.

Advertising 246

Advertising Investing Investments Marketing 246

Nerd's Eye View

MAY 22, 2024

With these factors in mind, the Federal Trade Commission (FTC) in April of 2024 announced a final rule banning most non-competes nationwide that is expected to take effect (pending legal challenges) on September 4, 2024.

Financial Advice 246

Financial Advice Commission Clients Sales 246

Nerd's Eye View

JUNE 12, 2024

For example, if an advisor recommends an investment that prioritizes the commission they would receive rather than any benefit the client would derive from it, they could incur fines and sanctions for violating their fiduciary duty as an advisor.

Fiduciary Duty 245

Fiduciary Duty Risk Tolerance Investing Investments 245

Nerd's Eye View

FEBRUARY 22, 2023

Additionally, the ‘correct’ answer for some sections on Form ADV may depend to some degree on personal interpretation of questions that have not changed with evolving business practices.

Commission 236

Commission Clients Investing Investments 236

MarketWatch

MAY 22, 2023

Securities and Exchange Commission updating its strategy to accelerate entry to the U.S. The company has modified the structure of its interest in that company in order to ensure continued compliance with Nasdaq listing rules, it said in a statement. CGCCA:WEED said Monday it has filed a revised proxy statement with the U.S.

Compliance 75

Compliance Commission Marketing Marketing 75

Advisor Perspectives

FEBRUARY 7, 2024

Hedge funds and proprietary trading firms that regularly trade US Treasuries are set to be labeled as dealers by the Securities and Exchange Commission — a tag that brings greater compliance costs and scrutiny.

Compliance 52

Compliance Commission 52

Truemind Capital

MARCH 6, 2024

Unfortunately, the incentive structure based on commissions in established wealth management set-ups has compromised fiduciary responsibilities towards an investor. In simple terms, the products that offer higher commissions to the distributors/agents in most cases are not appropriate for investors.

Commission 52

Commission Investing Investments Compliance 52

Sara Grillo

OCTOBER 31, 2022

Any financial advisor who is registered as an advisor with a regulator has to fill out this form for initial approval by either a state or a Federal (the United States Securities and Exchange Commission) regulator. If the person is an insurance agent or solely a broker selling commission-based products, they will not have to file a Form ADV.

Financial Advisor 110

Financial Advisor Commission Clients Compliance 110

Norman Marks

SEPTEMBER 23, 2022

Last year, the Independent Casino Commission (in New South Wales, Australia) appointed Adam Bell, SC (an attorney) to lead an independent inquiry into The Star Pty Ltd. The stated objective was to “assess The Star’s suitability to hold a casino licence and to examine compliance with its legal obligations. Star Entertainment Group).

Compliance 49

Compliance Management Commission Government 49

MarketWatch

MARCH 27, 2023

Binance, the world’s largest crypto exchange, was sued by the Commodity Futures Trading Commission Monday for alleged violations of the federal laws governing commodities markets. clients in evading compliance controls and instructing customers to obscure their location using virtual private networks, or VPNs. law” by assisting U.S.

Compliance 52

Compliance Commission Government Clients 52

Indigo Marketing Agency

MARCH 19, 2024

Compliance: Consistently adhere to Securities and Exchange Commission (SEC) , FINRA , Regulation Best Interest , broker-dealer compliance , and state regulations for financial advisors. Client enrollment phase: During the onboarding process, incorporate opt-in alternatives.

Financial Advisor 80

Financial Advisor Marketing Marketing Compliance 80

Walkner Condon Financial Advisors

APRIL 17, 2023

In contrast, a commission-based financial advisor receives commissions or other forms of compensation from financial product providers for recommending and selling their products. This can make it difficult for investors to fully understand the potential conflicts of interest that may exist when working with a commission-based advisor.

Fee Only 52

Fee Only Financial Advisor Certified Financial Planner Commission 52

Walkner Condon Financial Advisors

APRIL 21, 2023

In contrast, a commission-based financial advisor receives commissions or other forms of compensation from financial product providers for recommending and selling their products. This can make it difficult for investors to fully understand the potential conflicts of interest that may exist when working with a commission-based advisor.

Certified Financial Planner 52

Certified Financial Planner Financial Advisor Fee Only Financial Planner 52

Leading Advisor

AUGUST 2, 2023

Branding Commission/Fee For Service Compliance and Licensing Marketing and Sales Office Environment Products and Services Technology and Equipment Team/Succession Planning Vision and Business Plan What… The post Will increasing your understanding of Flow & the Elimination of Flow Killers help you to make these Processes & Systems STICK? (..)

License 40

License Compliance Commission Business Planning 40