The Big Picture

MAY 20, 2023

As president, she is responsible for corporate sustainability and responsible investing; Man Solutions and Man FRM; central trading, funds treasury and bank relationships; operations; financial crime; corporate real estate; and communications. Before joining the firm in 2010 as Chief Compliance Officer for Man GLG, Robyn held Sr.

Compliance 297

Compliance Communication Government Banking 297

Nerd's Eye View

DECEMBER 27, 2023

These responsibilities also extend to the use of any technology used in the process of giving advice: A recommendation made with the aid of technology still needs to be in the client's best interests, while the technology also needs to carry out any function as it's described in the advisor's marketing materials and client communications.

Financial Advice 204

Financial Advice Communication Compliance Clients 204

Abnormal Returns

MARCH 6, 2023

morningstar.com) Brendan Frazier talks with Ted Klontz about how to better motivate, communicate and connect with clients and prospects. citywire.com) Compliance Why compliance needs to embrace technology and become nimbler. kitces.com) Vanguard Vanguard on the three main parts of behavioral coaching. (fa-mag.com)

Compliance 147

Compliance Wealth Management CFP Financial Advice 147

Nerd's Eye View

JANUARY 26, 2024

Also in industry news this week: A House committee has advanced a bill that would extend several expired business-related tax measures from the Tax Cuts and Jobs Act and would increase the value of the Child Tax Credit The SEC released its examination priorities for 2024, which include a focus on advisers' adherence to their duty of care and duty of (..)

Financial Planner 203

Financial Planner Retirement Planning Financial Advisor Retirement 203

Indigo Marketing Agency

JANUARY 25, 2022

But as a financial advisor, how should you communicate with your clients about market volatility? But what’s the best way to communicate about the recent market events? Why You Should Communicate During Volatility. Proactive communication is good client service. Call if they have questions.

Communication 52

Communication Clients Marketing Marketing 52

Nerd's Eye View

APRIL 17, 2024

Compliance!), After advisors do all of the work of bringing on a new client (Marketing! Prospecting! Onboarding! it can sometimes feel natural to let the relationship go into "maintenance mode".

Clients 198

Clients Financial Planning Compliance Planning 198

Indigo Marketing Agency

APRIL 4, 2024

In addition to highlighting your professionalism and trustworthiness, successful financial advisor website design must also communicate your special knowledge and value offer. Here’s how to gain trust through compliance: Adhere to regulations: Verify that your website conforms with FINRA , FTC , SEC , and other pertinent laws.

Financial Advisor 52

Financial Advisor Compliance Consulting Certification 52

Nerd's Eye View

NOVEMBER 7, 2022

Hearsay Systems rolls out a new small-to-mid-sized RIA platform for social media compliance and website design. Riskalyze signals an intent to rebrand itself away from ‘just’ risk tolerance assessments to a broader focus on helping advisors grow clients and assets.

Risk Tolerance 176

Risk Tolerance Compliance Startup Clients 176

Indigo Marketing Agency

OCTOBER 10, 2023

Compliance and Regulations. Financial advisors must follow strict regulatory guidelines that may limit how they communicate with clients, so maintaining compliance with your content can be challenging, at best.

Compliance 59

Compliance Financial Advisor Clients Financial Advice 59

Harness Wealth

NOVEMBER 27, 2023

Core components of CAS involve bookkeeping, payroll, tax planning & compliance services customized for each client. Client Accounting Services are a comprehensive set of offerings provided by accounting firms to assist both individual and business clients in both compliance matters and day-to-day financial management.

Accounting 59

Accounting Clients Compliance Taxes 59

Trade Brains

NOVEMBER 21, 2023

crores on June 22 Reason for imposing the penalty is for non-compliance with certain directions issued by RBI on ‘Loans and Advances – Statutory and Other Restrictions’ and the Advisory on ‘Man in the Middle (MiTM) Attacks in ATMs’ (the Advisory). Indian Overseas Bank Penalty imposed: ₹2.20 Indian Bank Penalty imposed: ₹1.62

Government 59

Government Banking Compliance Accounting 59

Good Financial Cents

DECEMBER 14, 2022

Chief Compliance Officer. A chief compliance officer ensures financial institutions adhere to all applicable laws and regulations. To keep a business running smoothly and help avoid costly non-compliance fees, CCOs monitor company policy and compliance. Communication Skills. Average salary: $114,832 per year.

Compliance 87

Compliance Budgeting Accounting Insurance 87

FMG

SEPTEMBER 7, 2022

“FMG has positively impacted my communications with clients and prospects.” “The FMG marketing portal has greatly streamlined the way we communicate with clients over the last 2 years!” I am thrilled to have creative ways to reach clients and prospects. Thanks, FMG” ~ Chery Evans.

Communication 52

Communication Financial Planning Clients Wealth Advisor 52

Inside Information

APRIL 1, 2024

One might argue that the reps are paying for access to commissionable products, and the other primary benefit they receive is compliance supervision—making sure they are in fairly strict compliance with the sales-related rules that FINRA and the SEC have promulgated.

Compliance 40

Compliance Commission Sales Financial Services 40

Indigo Marketing Agency

DECEMBER 18, 2019

That’s why top advisors outsource their marketing to proven professionals that understand our industry and compliance. . It offers comprehensive solutions, including personalized websites, compliance-ready content, email and social media tools, and more. Branding and Communications for Financial Advisors.

Financial Advisor 52

Financial Advisor Compliance Marketing Marketing 52

Diamond Consultants

MAY 24, 2022

For others, it’s a “pull” or desire to do more for clients by becoming a true fiduciary—and enhancing service, support, technology, and communications in the process. Big firms tend to have a great deal of bureaucracy and cumbersome compliance requirements—a by-product of managing a huge advisor force. Better communication.

Clients 52

Clients Compliance Communication Investing 52

Inside Information

MAY 30, 2023

Another uncomfortable fact is that these BDs have enormous compliance departments which supervise all of the communications put out by the reps and their offices—which is required by FINRA. The compliance people have to pre-approve their communications. A national advisory firm presumably wouldn’t have those restrictions.

Communication 40

Communication Sales Compliance Insurance 40

Indigo Marketing Agency

AUGUST 17, 2020

Send video messages with Loom for easy communication with clients. Which begs the question, is there an easier way to communicate with clients? Loom is every advisor’s secret weapon for communicating quickly and effectively. As a financial advisor, a large part of your job is communicating with clients.

Financial Advisor 52

Financial Advisor Communication Clients Compliance 52

Norman Marks

MARCH 7, 2024

Last month, Richard Chambers shared an outstanding article, Audit Committee Chairs Are Loud and Clear: Internal Audit Must Communicate Better. He said he would provide his own comments later on the major points made by the audit committee chairs he interviewed, but I would to add my own here. His very first is that audit […]

Communication 45

Communication Compliance Government 45

Indigo Marketing Agency

JUNE 16, 2021

We Write Your Presentation After you choose a topic, our team gets to work creating two different documents for you: your webinar presentation and a communications kit. Once you and compliance give the green light, we’ll hit the “go” button and make everything live.

Financial Advisor 52

Financial Advisor Compliance Communication Retirement 52

Trade Brains

SEPTEMBER 17, 2023

The company has established itself in 3 business verticals, Consulting : Environment Impact Assessment, ESG and Climate Change, Environmental Compliance, Environmental Due Diligence, DPR and designing, Training and sensitization, Environmental crime investigation.

Consulting 59

Consulting Compliance Government Healthcare 59

Norman Marks

MARCH 7, 2024

Last month, Richard Chambers shared an outstanding article, Audit Committee Chairs Are Loud and Clear: Internal Audit Must Communicate Better. He said he would provide his own comments later on the major points made by the audit committee chairs he interviewed, but I would to add my own here. His very first is that audit […]

Communication 40

Communication Compliance Government 40

Norman Marks

MARCH 7, 2024

Last month, Richard Chambers shared an outstanding article, Audit Committee Chairs Are Loud and Clear: Internal Audit Must Communicate Better. He said he would provide his own comments later on the major points made by the audit committee chairs he interviewed, but I would to add my own here. His very first is that audit […]

Communication 40

Communication Compliance Government 40

Fortune Financial

JANUARY 11, 2024

Maintaining this awareness is a continuous effort; keeping all employees up-to-date with regular communication about any changes or additions to the benefits is essential. Utilize Various Communication Channels Ensure that all channels are clear and free of jargon to make them accessible to all employees.

Retirement Planning 59

Retirement Planning Education Insurance Retirement 59

Nerd's Eye View

AUGUST 30, 2023

Because of this, non- solicit agreements (where the departing advisor is restricted in whether and how they can communicate with their clients, and "solicit" them to come with the advisor when they leave for another firm) are much more common in the financial advisory industry.

Clients 209

Clients Communication Financial Planning Planning 209

International College of Financial Planning

MARCH 31, 2023

Skills Required for a Career in Wealth Management A successful career in wealth management requires a range of skills that include: Strong communication skills to engage with clients and explain complex financial concepts in a simple manner.

Wealth Management 52

Wealth Management Management Risk Management Ethics 52

Indigo Marketing Agency

MARCH 22, 2020

If you can’t meet in person, it’s critically important to use video and share your screen to: Increase trust and improve communication. It’s important to choose one that is approved by your compliance department and easy to use. That’s where virtual meetings come in. Easy to host meetings. Set Up Your Account.

Clients 52

Clients Compliance Communication Accounting 52

Indigo Marketing Agency

APRIL 28, 2023

Follow these five steps to create an impactful bio that resonates with website visitors and communicates what makes you different. Once you’re happy with the result, send it to compliance, feature it on your website, and don’t forget to share it on your social media profiles! What Do You Do & Who Do You Do it For?

Financial Advisor 98

Financial Advisor Clients Compliance Wealth Management 98

Diamond Consultants

DECEMBER 5, 2023

Increasing bureaucracy, rising compliance restrictions, diminishing freedom over investments, and client communications—just a few of the issues we hear about from advisors every day. While it may seem “safer” to stay put, there are risks in doing so that many advisors are unaware of. Why is this so common?

Compliance 52

Compliance Clients Retirement Recruitment 52

AdvisorPR

MAY 13, 2020

Your live presentations, appointment process, onboarding and ongoing client communication processes call all be done virtually, with the adaption of technology. Once you’ve worked through your virtual advisor processes, communication will be the driving factor to your success going forward. Sure, it’s not the same, but nothing is.

Communication 52

Communication Accounting Financial Advice Clients 52

Indigo Marketing Agency

MARCH 24, 2023

Expertise in Tax Planning & Compliance: A CPA can help you identify tax-saving opportunities and help keep your clients in compliance with tax laws, reducing the risk of costly penalties and fees. First and foremost, let’s review why CPAs make one of the best referral sources for financial advisors.

Financial Advisor 52

Financial Advisor Tax Planning Taxes Clients 52

Norman Marks

MAY 4, 2023

In their earlier Concept Paper, NIST explained: The NIST Cybersecurity Framework (CSF or Framework) provides guidance to organizations to better understand, manage, reduce, and communicate cybersecurity risks. It is a foundational […]

Communication 49

Communication Planning Management Compliance 49

International College of Financial Planning

JUNE 14, 2023

It is important to note that a new NISM certification must be obtained before the expiry of the existing certificate to ensure compliance with guidelines. Registering as a SEBI investment advisor ensures compliance with regulations and instils trust among clients.

Investment Advisor 52

Investment Advisor Investing Investments Certification 52

Harness Wealth

OCTOBER 5, 2023

Client Communication: Create an effective communication and onboarding process for clients who are interested in your new services. Make sure that any changes needed are made within your accounting practice management software or other platforms prior to onboarding new clients, in order to prevent issues down the line.

Taxes 59

Taxes Tax Planning Accounting Clients 59

International College of Financial Planning

MAY 30, 2023

Fostering open communication about ethical concerns. Seeking Advice and Conducting Research Implementing effective compliance programs and internal controls Compliance programs and internal controls help to prevent, detect, and address unethical behavior. Providing ongoing education and training.

Ethics 40

Ethics Compliance Education Clients 40

Fortune Financial

MARCH 5, 2024

This means staying informed about plan performance, fees and compliance requirements. They handle the day-to-day administration, from enrollment processes to contribution management, ensuring compliance with regulations and that the plan remains advantageous for you and your employees.

Retirement Planning 52

Retirement Planning Financial Advisor Retirement Taxes 52

Indigo Marketing Agency

MARCH 21, 2023

You can use AI to help you express your ideas, which we will then customize to ensure we communicate your perspective in your voice, and that it remains strategic without being plagiarized. Use AI to Flesh Out Article Notes The custom articles our team writes for our financial advisor clients’ blogs sometimes require notes.

Wealth Management 52

Wealth Management Clients Financial Advisor Media 52