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What's unique about Fran, though, is how she decided to transition from the independent broker-dealer model to a 'supported independence' corporate RIA platform in order to avoid the compliance headaches involved in being a totally independent RIA while reducing the drag of platform fees on her firm's profitability by finding a platform that wouldn't (..)
Leila is the founder of My RIA Lawyer, a compliance and legal services firm based in Alpharetta, Georgia, that serves RIAs, broker-dealers, and other financial services companies. My guest on today's podcast is Leila Shaver.
According to the ACA Group, the emails purport to be from SEC Chief Information Officer David Button and ask for advisors to confirm their emails (likely in an attempt to build trust for future scamming attempts).
Concerns over compliance, legacy systems, and data silos have made finance teams hesitant to embrace AI-driven transformation. AI is reshaping industries, yet finance remains one of the slowest adopters. But delaying adoption isn’t just about efficiency—it’s about staying competitive in a rapidly evolving landscape.
Advisors who said they don't have enough time with their clients spend an average 41% more time every month than peers on compliance, administrative and other “non-value-added” tasks, according to a new J.D. Power survey.
Companies that grow internationally without prioritizing compliance are sure to run into problems. From entity setup, to hiring, financial reporting, and staying on top of changing regulations, compliance plays a key role every step of the way.
With the “free money” well running dry, compliance is one area that heavily regulated firms should think long and hard about before cutting to conserve cash.
One of the most intimidating aspects of launching a solo advisory firm is the question of how to manage compliance. Creating a compliance calendar for a solo RIA can help to systematize and manage compliance tasks, requirements and deadlines. Read More.
One of the most intimidating aspects of launching a solo advisory firm is the question of how to manage compliance. Putting all of this information together, it’s possible to create a compliance calendar that accounts for each task required, its frequency, and the due date for each.
Build and refine your global compliance program to boost speed-to-hire and minimize international growth risks. Every global growth to-do list should begin with compliance. How a strong compliance program can boost recruiting efforts. How to accelerate your global speed-to-hire.
By approaching compliance as a strategic opportunity rather than a regulatory burden, advisors can successfully navigate the maze and build a stronger practice.
Our tech columnist discusses AI and compliance with the chief executive of one of the industry’s largest providers of communications compliance technology.
The group is the latest sign of the Board’s focus on AI; last month, it released an AI-assisted test prep course and unveiled compliance checklists for advisors using Gen AI earlier this year.
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In today's competitive global marketplace, a well-structured onboarding process not only plays a vital role in welcoming new employees, but it also helps them quickly become a productive, engaged, and loyal part of your global workforce.
The digital revolution has made compliance issues more numerous and complicated than ever. Leaders in the space discuss how they're helping advisors manage risk.
However, this "Compliance Rule" did not technically require that the annual compliance review of policies and procedures be conducted in writing, even though advisers were required to maintain records if they did document such reviews in writing! the SEC's new marketing rule).
Global compliance: A Global Growth Roadblock. However, companies must be prepared to maintain compliance with in-country legislation. Compliance is a constantly evolving challenge, from the recruiting stage all the way to employee offboarding. The best strategies to maintain compliance during global growth.
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5 Compliance Tips From a Financial Advisor Marketing Consultant Whether you’re creating a new website , publishing a blog post , or sharing content on social media, a financial advisor marketing consultant will tell you that compliance should always be top-of-mind. Build a compliance policy.
What's unique about Fran, though, is how she decided to transition from the independent broker-dealer model to a 'supported independence' corporate RIA platform in order to avoid the compliance headaches involved in being a totally independent RIA while reducing the drag of platform fees on her firm's profitability by finding a platform that wouldn't (..)
Speaker: Rita Keller - President of Keller Advisors, LLC
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Real estate investment companies are facing a daunting task when it comes to properly reporting on vast quantities of data across environmental, social and governance factors. Here’s how technology can help.
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CPAs know the drill: taxes, compliance, rinse, repeat. By upskilling your accounting practices and shifting focus from tax compliance to the strategic movement of money, you can transform your role from reactive accountant to proactive financial strategist.
youtube.com) Michael Kitces talks compliance with Leila Shaver, founder of My RIA Lawyer. Podcasts Michael Batnick talks with Tim White and Danny Lohrfink of Wealth.com about trends estate planning. kitces.com) Josh Brown and Nick Sapienza break down a real-life case study of couple with $3 million in assets and a desire to retire.
We also talk about how Travis built the onboarding and compensation plans for his own (contracted) student loan consultants to scale the business while incentivizing them to take on a greater volume of meetings (and still ensuring that they could give high-quality student loan advice), how Travis decided to diversify his business's income streams when (..)
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He will share real-world examples of errors, compliance issues, and risks that may be present within your spreadsheets. Join this insightful webinar with industry expert Abdi Ali, who will discuss the challenges that can arise from managing lease accounting with spreadsheets!
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Learn the seven must-have features that you can press vendors to showcase, and discover the secrets to accelerate your time to market while maintaining compliance controls and risk management standards.
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