Trade Brains

SEPTEMBER 26, 2024

NSE also oversees compliance by its members and listed companies with relevant rules and regulations. Regulatory compliance: Operating in a highly regulated industry, NSE must comply with strict legal and regulatory requirements. Any failure in compliance may lead to penalties, fines, or reputational damage, impacting operations.

Compliance 90

Compliance Banking Management Risk Management 90

Steve Feinberg

SEPTEMBER 7, 2023

For home service contractors, completing your workload, attracting new clients, and keeping up to date with all the applicable codes and licensing your business needs can already be a monumental task. Not only is it required by law, but proper tax compliance ensures that your business avoids penalties and maximizes tax returns and deductions.

Compliance 52

Compliance Taxes Accounting Budgeting 52

The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Compliance 162

Compliance Clients Wealth Management Management 162

Sara Grillo

JUNE 20, 2022

But nothing was done until I voice that frustration and an email to compliance or to HR, I forgot who it was, did anything actually get done, ’cause from that conversation with that partner until the time I re-located to my practice to Tampa, I think it was probably about six months or so.

Financial Advisor 52

Financial Advisor Sales Commission Clients 52

Brown Advisory

JANUARY 1, 2023

The business has progressed during the past three years as a result of strategic objectives on business digitisation, continued investment into the Premier Agency sales model, and expansion within mainland China through new provincial license approvals. In China alone, we believe AIA still has meaningful growth opportunities.

Investing 52

Investing Investments Valuation Clients 52

Harness Wealth

FEBRUARY 4, 2025

Financial Professional Qualification: Holding certain financial licenses, such as Series 7, 65, or 82, may also grant accreditation status. These include legal fees, administrative costs, audit expenses, compliance costs, and operational fees. What tax forms do alternative investments require?

Taxes 52

Taxes Investments Investing Startup 52

Tucker Advisors

AUGUST 9, 2021

But, if doing so would earn you money, you will likely need additional disclosures, documentation, policies and procedures, and annual review requirements. What are the key points advisors need to beware of in order to be in compliance with the present definition/regulation regarding IRA rollovers? The client? We don’t know that yet.

Financial Advisor 52

Financial Advisor License Clients Insurance 52

Diamond Consultants

DECEMBER 20, 2022

It was activity that we documented in a report covering the first half of the year (if you haven’t obtained a copy, you can get it here ). The cherry on top was the expansion of affiliation models to include the ability to become an RIA, drop FINRA licenses, or gain more independence without the need to repaper.

Recruitment 59

Recruitment Compliance Wealth Management Banking 59

Sara Grillo

SEPTEMBER 26, 2022

In addition to his formal Education Robert Wright holds his FINRA Series 7 and 66 licenses, is a CERTIFIED FINANCIAL PLANNER Professional and holds Georgia Resident Life and Health Insurance. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Harness Wealth

MARCH 20, 2025

Home office space deductions Business equipment deductions Travel expense deductions Vehicle mileage deductions Business meal deductions License fee deductions Health insurance deductions Retirement contribution deductions How do I claim home office tax deductions? However, the licenses must be directly related to business activities.

License 52

License Taxes Insurance Consulting 52

Harness Wealth

APRIL 29, 2025

Some require extensive record-keeping, regular board meetings, and additional compliance filings, while others maintain relatively straightforward compliance requirements. For multi-member LLCs, the operating agreement serves as the foundational document that governs the relationships between partners.

Taxes 52

Taxes Compliance Distribution License 52

Harness Wealth

MARCH 25, 2025

To minimize your tax liability, its important to document every business expense, such as: Travel : airfare, lodging, rental cars Professional fees : licensing, malpractice insurance Education : continuing medical education or certifications Note: Record all expenses associated with your work as an independent contractor.

Medical 52

Medical Taxes Tax Planning Education 52