Compliance Document Planning 
Nerd's Eye View
DECEMBER 18, 2024
Maintaining adequate books and records is a cornerstone of compliance for all investment advisers. For financial planning services, a similar approach to documentation can be applied to support regulatory compliance from the start of client engagement through all the steps that follow.
Nerd's Eye View
OCTOBER 11, 2023
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). the SEC's new marketing rule).
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Nerd's Eye View
APRIL 26, 2023
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.
Nerd's Eye View
APRIL 26, 2023
One of the most intimidating aspects of launching a solo advisory firm is the question of how to manage compliance. The 1st category of tasks that advisory firms must handle involves renewing their registration with the applicable state(s) in which they do business each year, which typically involves submitting select documents (e.g.,
Nerd's Eye View
JUNE 18, 2025
In recent years, financial advisors have increasingly embraced tax planning as a core element of delivering value to clients. But as the profession has evolved toward more holistic planning, tax considerations have likewise expanded into more areas of advice, including Roth conversions, charitable strategies, and small business structuring.
Nerd's Eye View
NOVEMBER 22, 2023
In this guest post, Chris Stanley, investment management attorney and Founding Principal of Beach Street Legal, discusses in depth the various stages of buying, selling, and merging an investment advisory and financial planning business.
Wealth Management
JULY 2, 2025
From Point Solutions to Seamless Intelligence For decades, our industry has relied on integrations—APIs painstakingly connected across custodians, CRMs, planning tools and portfolio management systems. Number 8860726. It’s a shift in how we think about data, identity and access. The rise of agentic AI changes that completely.
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