Compliance Related Topics 
Nerd's Eye View
NOVEMBER 30, 2022
And yet, despite the prominent role of taxes in financial planning, advisors are often prohibited by their compliance departments from making recommendations for a specific course of action on a certain tax strategy. Taxes are a central component of financial planning.
Norman Marks
JANUARY 30, 2023
Compliance with those regulations is a major part of the internal […] Risk audit riskAs I said in my last post, I recently had the privilege of hanging out with a bunch of smart people: internal auditors. They work for an organization with manufacturing facilities all over the world, each of which is subject to strict safety regulations.
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BlueMind
JULY 15, 2022
Category: Compliance. The Significance Of Financial Compliance Financial compliance requires all actions, procedures, guidelines, and business culture to abide by the rules and regulations set by the regulatory authorities of the financial market. Compliance
Nerd's Eye View
NOVEMBER 2, 2022
Regulation & Compliance OPTIN: One Page Business Plan (BAR) OPTIN: One Page Business Plan (SLIDE IN
Speaker: Rita Keller - President of Keller Advisors, LLC
Join Rita Keller, seasoned CPA firm management strategist and consultant, for an insightful discussion on the importance of diversifying your accounting skills.
Wealth Management
SEPTEMBER 13, 2022
Speakers at the Future Proof wealth festival on how compliance can move a cost of doing business to a valuable business function to be marketed—and monetized
Advisor Perspectives
AUGUST 14, 2022
Restrictive compliance and new, rapid-fire regulatory rules pose a challenge for independent advisors who often do not have the bandwidth to respond in a timely manner.
Wealth Management
NOVEMBER 16, 2022
An aggressive regulatory push by the SEC is behind the "major shift" in resources, according to Hearsay Compliance Principal Bill Simpson
Wealth Management
SEPTEMBER 6, 2022
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
Advisor Perspectives
OCTOBER 26, 2022
Most compliance officers are well-intentioned, competent professionals who perform a valuable function for the investment advisory community. Then there are the exceptions
Advertiser: G-P
Every global growth to-do list should begin with compliance. Navigating international jurisdictions can be complex and time-consuming, but with solid, up-to-date compliance procedures, companies can maximize efficiency, speed-to-hire, and mitigate risks.
Inside Information
APRIL 28, 2022
I’m beginning to think the term ‘compliance’ ought to be repurposed. Maybe you see something different, but from where I sit, there is no actual encouragement from federal regulators to go beyond (somewhat grudging) compliance and embrace higher standards.
Brown Advisory
APRIL 13, 2022
Expats: Tax Compliance. Topics we plan to cover in this series are: Tax Compliance. In this post, we tackle tax compliance. Tax Compliance. tax (potentially double tax) and unnecessary tax compliance fees. Pitfalls for U.S. mhannan. Wed, 04/13/2022 - 06:37.
XY Planning Network
AUGUST 15, 2022
Let’s dive into several ways to keep your compliance organized beyond the filing cabinet. Advisor Posts fee-only advisor Compliance RIA Compliance compliance program independent financial advisor running a firm chief compliance officer firm compliance regulators SEC organization
Norman Marks
AUGUST 17, 2022
A fact: most companies have included far too many IT General Controls (ITGC) in their scope for SOX. Why: because they have taken an approach to scoping ITGC that is disconnected from the top-down and risk-based approach used to identify key controls within business processes. The scoping of ITGC has resulted in including ITGC controls […]. Risk audit control GAIT governance GRC IIA ISACA risk Sarbanes-Oxley SOX
Advertiser: G-P
Are you focusing on what’s important when it comes to global compliance? From entity setup to hiring, financial reporting to the ever-changing world of regulations, compliance plays a key role on every step of the journey toward long-term success.
XY Planning Network
NOVEMBER 28, 2022
Advice Advisor Posts Blog fee-only advisor Compliance RIA Compliance RIA Registration XY Investment Solutions broker-dealers firm compliance SEC state registration Registration IAR Investment Adviser Representative Registered Representative Finra SEC Regulation S-P7 MIN READ.
XY Planning Network
JANUARY 16, 2023
4 MIN READ. New year, new firm? Whether you’re changing firms or starting your own, there are many things to consider and do. If notifying or bringing your clients with you is on your checklist, add this task first: C heck employment contract.
XY Planning Network
NOVEMBER 14, 2022
Advisor Posts fee-only advisor starting a firm compliance program independent financial advisor continuing education running a firm fee-for-service financial planning firm compliance firm ownership annual review process NASAA IAR IAR CE Credits Investment Adviser Representative
Norman Marks
JANUARY 26, 2023
I touched on […] Risk audit compliance governance GRC IIA riskThis week, I had the privilege and pleasure of spending time with a number of smart and curious professionals who are dedicated to adding value to their organization. I am talking about internal auditors, of course. I was a speaker at a multi-national company’s annual internal audit conference (something I enjoy doing).
Advertiser: G-P
A well-structured onboarding process plays a vital role in welcoming new employees and helps them quickly become productive, engaged, and loyal. This guide offers key practices to compliantly onboard your new international remote workers.
XY Planning Network
JUNE 13, 2022
Outside managers offer affordable investment management services for smaller accounts and can be a wonderful option for advisors and their clients, just keep in mind that leveraging an outside manager comes along with some regulatory considerations and compliance to-dos. 5 MIN READ.
MarketWatch
NOVEMBER 15, 2022
China's ruling party called for strict adherence to the hard-line "zero-COVID" policy Tuesday in an apparent attempt to guide public perceptions after regulations were eased slightly in places, the Associated Press reported.
Nerd's Eye View
DECEMBER 7, 2022
Regulation & Compliance OPTIN: One Page Business Plan (BAR) OPTIN: One Page Business Plan (SLIDE IN
Norman Marks
JANUARY 19, 2023
CIO.com defines ESG as: Environmental, social, and corporate governance (ESG) is a strategic framework for identifying, assessing, and addressing organizational objectives and activities ranging from the […] Risk audit boards compliance ERM ESG governance GRC IIA riskI have seen several articles and blog posts lamenting the apparent fact that internal audit teams are not spending a large percentage of their audit plan addressing ESG risks.
Advertiser: G-P
Compliance is a constantly evolving challenge, from the recruiting stage all the way to employee offboarding. Companies must stay compliant at all stages in the employee lifecycle. This eBook offers strategies to maintain compliance, outlines common compliance mistakes, and more.
Nerd's Eye View
AUGUST 17, 2022
Regulation & Compliance OPTIN: One Page Business Plan (BAR) OPTIN: One Page Business Plan (SLIDE IN Registered Investment Advisers (RIAs) are generally required to enter into an advisory agreement with their clients prior to being hired for advisory services.
Nerd's Eye View
AUGUST 24, 2022
Regulation & Compliance OPTIN: One Page Business Plan (BAR) OPTIN: One Page Business Plan (SLIDE IN
Norman Marks
APRIL 25, 2022
Risk audit boards compliance control ERM governance GRC riskWhile many are focused on issues like cyber, saying it is perhaps the greatest source of risk to an organization today, I believe there are greater sources of concern.
Nerd's Eye View
AUGUST 24, 2022
Regulation & Compliance OPTIN: One Page Business Plan (BAR) OPTIN: One Page Business Plan (SLIDE IN
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Nerd's Eye View
AUGUST 17, 2022
Regulation & Compliance OPTIN: One Page Business Plan (BAR) OPTIN: One Page Business Plan (SLIDE IN Registered Investment Advisers (RIAs) are generally required to enter into an advisory agreement with their clients prior to being hired for advisory services.
Norman Marks
NOVEMBER 10, 2022
Risk audit boards compliance control cyber ERM governance GRC IIA ISACA riskIt happens so often, its almost not worth my time writing about it. Grant Thornton, like the other external audit firms, provides internal audit services as well. To promote them, they offer advice on matters such as how to perform audits of an organization’s cybersecurity measures and practices. This week, they published It’s time to […].
Nerd's Eye View
OCTOBER 19, 2022
Regulation & Compliance OPTIN: One Page Business Plan (BAR) OPTIN: One Page Business Plan (SLIDE IN
Norman Marks
JANUARY 12, 2023
Risk audit boards compliance control ERM governance GRC IIA ISACA riskWhile there may be a debate whether risk should be assessed using qualitative or quantitative measures, I believe that is answering the wrong question. Knowing what the level of risk is, even whether it is an unacceptable level of risk, is insufficient information. It doesn’t answer the questions of: Should I take the risk? How […].
XY Planning Network
DECEMBER 19, 2022
5 MIN READ. Over the past year, we've published articles written with one purpose in mind: to help independent financial advisors be successful. As 2022 comes to a close, we rounded up our top 10 most-viewed blogs published this year.
Norman Marks
AUGUST 22, 2022
Two firms recently released reports on SOX Compliance trends: Protiviti and Deloitte. When I was responsible for SOX at my company, I wanted to find out what our internal SOX compliance costs were. Risk audit compliance Deloitte governance IIA Protiviti risk Sarbanes SOXI need to make one important point. To my surprise, more than 50% of the costs were incurred by management: supporting testing […].
Norman Marks
JANUARY 16, 2023
Risk audit boards compliance control ERM governance GRC IIA ISACA riskChinmay Kulkarni has asked people on LinkedIn a question that appears to be from the ISACA Certified Information Systems Auditor (CISA) exam. He posted (I have included the current poll results, with 941 voting): CISA Question 3 As an IS auditor, what is the FIRST step you will take upon identifying lack of segregation of […].
Norman Marks
SEPTEMBER 19, 2022
Risk audit boards compliance ERM governance GRC IIA riskToday, I will review two very different sources for perspectives on risk management. Then I will provide a link to a paper by a law firm of relevance for board members and CROs. The first is an interview with Robert Finocchio on ‘Risk Oversight and Assessment’. If you look at his background, you will see […].
Norman Marks
AUGUST 12, 2022
Risk audit boards compliance ERM governance GRC management riskWARNING: This is likely to be a controversial post! I have been talking (OK, preaching) about the need to manage the likelihood of achieving objectives (i.e.,
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