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Weekend Reading For Financial Planners (March 15–16)

Nerd's Eye View

Which, if implemented under the new administration, could provide relief for investment advisers, particularly smaller firms that already have to balance compliance with client service, marketing, and the other duties that go into running a firm.

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Charitable Giving: Helping to Ensure Compliance and Maximize Impact

Carson Wealth

Compliance Challenges and Common Philanthropic Pitfalls Weve said, but it bears repeating, that philanthropic planning can be complex, especially when the amounts involved are substantial. The post Charitable Giving: Helping to Ensure Compliance and Maximize Impact appeared first on Carson Wealth. 7767505.1

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Is Scale a Necessary Evil in Wealth Management?

Diamond Consultants

Compliance Built for the Masses With a large advisor base, firms often manage risk to the lowest common denominator. That can mean rigid compliance policies that restrict entrepreneurial advisors or limit the kind of bespoke client experience they want to deliver. Scale has its placeand for some advisors, its the right answer.

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A Strategic Guide to the Supported RIA Model

Diamond Consultants

By our definition, the criteria for qualifying as a Supported RIA is surprisingly simple and boils down to two criteria: RIA Registration Supported RIAs are overseen by the state or the SEC and are distinctly separate from FINRA (though they may have so-called friendly broker dealers attached to them that allow for commissionable business).

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Hong Kong Is Turning Into a Gold Mine for Stablecoin Issuers – Here’s What’s Driving the Boom

Trade Brains

Standard Chartered’s venture is a definite contender. Furthermore, compliance costs appear very high. Regulators clearly plan a very selective approval process. Key Players Most applicants are China’s financial and tech giants. JD.com’s blockchain division actively prepares its bid.

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Wealthspire Advisors: Reimagining the Wealthstack After Nine RIA Acquisitions

Wealth Management

We want to make that choice this year, so there will definitely be more to come on that. Number 8860726. We’re planning on making a selection that moves less toward a generic co-pilot and more toward a specialized RIA financial advisor-specific AI overlay.

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At the Money: Getting Paid in Company Stock

The Big Picture

And you do have to spend money on compliance to make sure that you’re threading the needle of all the various rules that apply depending on the various stock plan that you choose to, to employ. So overcoming those things is, is definitely challenging on the employee side. Joey Fishman : They are complex to administer.

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