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#FASuccess Ep 416: Avoiding The Compliance Headaches When Going RIA By Choosing A ‘Supported Independence’ Corporate RIA Platform, With Fran Toler

Nerd's Eye View

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 (..)

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Caught Between Privacy Laws And Contracts: The Compliance Dilemma Of Taking Clients To A New Firm

Nerd's Eye View

This creates a host of challenges tied to client privacy laws and the advisor's contractual obligations to their former firms.

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#FASuccess Ep 441: What It Really Takes To Implement And Scale Compliance As An Independent RIA Grows, With Leila Shaver

Nerd's Eye View

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.

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Compliance Firm Warns RIAs of Phishing Scammers Impersonating the SEC

Wealth Management

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).

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How To Break Digital Transformation Barriers And Accelerate AI Adoption

Speaker: Anna Tiomina, MBA

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.

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Financial Services Needs Compliance Aggregators

Wealth Management

Compliance has not kept up with the current the dynamic regulatory environment and its multitude of requirements.

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Five Tips to Speed Up Compliance

Wealth Management

Somethings got to give for compliance teams to effectively manage their snowballing workload and spiraling costs.

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7 Compliance Challenges Companies Face When Growing Globally

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.

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The HR Compliance Playbook: How to Improve Speed-to-Hire

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.

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Your Global Compliance Playbook: Onboarding Best Practices

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.

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Compliance Throughout the Remote Employee Lifecycle

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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The CPA Firm Growth Strategy: From Compliance to Consulting

Speaker: Rita Keller - President of Keller Advisors, LLC

Profession leaders are urging you to diversify your financial skills and distance yourself from compliance work. You're known as the “go-to” person when a client is faced with tax and financial decisions. You have a very successful firm -- but that’s not enough. For some, the transition will be easy.

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Cash Flow Secrets Every Upskilled CPA Should Know

Speaker: Debra L. Robinson

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.

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Avoiding Lease Accounting Pitfalls in 2025: Lessons Learned from Spreadsheet Errors

Speaker: Abdi Ali, Sr. Lease Accounting Consultant

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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How to Evaluate Business Lending Software for Your Bank

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.