BlueMind

JULY 15, 2022

Bear in mind the standards that a Registered Investment Advisor is held accountable to and a broker-dealer is, are different. Now, “over-the-counter” trades have become increasingly popular with the emergence of digitization and remote communication. The Increasing Costs Of Maintaining Compliance Standards To quote former U.S.

Compliance 98

Compliance Financial Advisor Certified Financial Planner Clients 98

Sara Grillo

JANUARY 9, 2023

We’ll cover: What does it mean for financial planning to be transparent? What are the changes in Colorado investment advisor regulations regarding financial planning? What is happening in other states regarding reform of financial planning regulation, and why we expect these changes to become more widespread.

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

Inside Information

OCTOBER 30, 2021

In Rostad’s view, this is the very disclosure document that could be eliminating investor confusion about the different business models and agendas. “If Yes,” says Rostad. “As I look across the investment advisory world, I don’t see much evidence of individuals remembering that fiduciary is a core differentiator in financial advice.

CFP 40

CFP Commission Investing Investments 40

Sara Grillo

SEPTEMBER 26, 2022

I do believe it should be different regulated differently from portfolio management, which is the typical definition of the registered investment advisor, but that it shouldn’t be the CFP Board that is controlling the regulatory environment for financial planners. Salaske: What is an investment advisor?

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

APRIL 25, 2023

So, Brian is not a stranger to me, and we have some shared financial interests, but the reason I wanted to bring him in here is there are few people in the industry who have a better perch by which to look at the world of registered investment advisors, broker-dealers, all of the changes that are taking place in the space.

Compliance 150

Compliance Clients Wealth Management Management 150