Good Financial Cents

DECEMBER 14, 2022

They may work in various industries, such as investment firms, accounting firms, banks, or the government. Employment numbers for Financial Managers are expected to rise by 17% over the next decade, faster than the average for all occupations. Chief Compliance Officer. Financial Examiner. Hedge Fund Manager.

Compliance 87

Compliance Budgeting Accounting Insurance 87

Sara Grillo

JANUARY 9, 2023

Working with advocacy groups to influence policy, law and governance. At the same time, Division Examination Staff (“Staff”) has found that many ongoing financial planners are unprepared to respond to Staff inquiries about fees and work performed made during regulatory examinations. Mentoring younger advisors.

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

Inside Information

OCTOBER 30, 2021

B y now, I’m sure most of you are familiar with the Committee for the Fiduciary Standard—but if not, well, it’s a group of prominent advisors who advocate that anybody who holds out as a financial planner or advisor be held to a strict fiduciary standard. I participate in their discussions, though I’m not formally a member.

CFP 40

CFP Commission Education Investing 40

Sara Grillo

SEPTEMBER 26, 2022

Salaske: Yeah, I don’t agree with the CFP Board becoming any type of regulator whatsoever over financial advisors, financial planners, whatever you wanna call us in the advice space. Wright: Well, and to respond to that, if I may.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Compliance 152

Compliance Wealth Management Clients Management 152