Harness Wealth

APRIL 16, 2025

Internet service, mobile communications, and utilities directly supporting business operations qualify for partial deductions, provided you maintain proper documentation showing the business-use percentage. This includes essential business activities like client meetings, travel meals, and recruitment dining.

Startup 52

Startup Taxes Tax Planning Transportation 52

Harness Wealth

MAY 12, 2025

Stereotypes of long hours spent on tedious compliance work tend to overshadow the intellectual challenges, problem-solving opportunities, and the potential for strategic advisory roles within the field. This decline is generally attributed to the demanding curriculum and the rigorous CPA exam requirements, which discourage potential entrants.

Taxes 52

Taxes Compliance Accounting Numbers 52

Good Financial Cents

JANUARY 11, 2023

They must make decisions with the utmost accuracy and integrity to ensure compliance with banking regulations and protect the financial institution from costly legal or financial repercussions. Excellent communication and interpersonal skills. Understanding of financial regulations and laws. Detail-oriented, analytical mindset.

Banking 96

Banking Budgeting Portfolio Management Recruitment 96

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 Insurance Compliance 40

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?

Clients 52

Clients Compliance Retirement Recruitment 52

The Big Picture

AUGUST 15, 2023

And so alongside of Wall Street recruiting in my senior year, I interviewed at the Yale Investments Office and was fortunate to get that job and violated the two principles I had at the time, which was I wanted to be in a training program and I wanted to leave New Haven. Let me say what your compliance wouldn’t allow you to say.

Management 130

Management Investments Investing Government 130

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 162

Compliance Clients Wealth Management Management 162