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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.
Understanding Tax Compliance and Risk Management Ultra-high-net-worth individuals face unique tax challenges, including high rates and ever-changing complex tax codes. Navigating these tax issues can be incredibly complex, necessitating a comprehensive compliance and risk management plan. In fact, in 1963, the top rate was 91%.
investmentnews.com) Compliance There's no winning the cybersecurity war, just stalemate. financial-planning.com) Advisers don't like spending time on administrative and compliance issues. wealthmanagement.com) Laurence Kotlikoff on the gulf between conventional and economics-based financial planning.
US LEI Deteriorates Right now, our proprietary US Leading Economic Index (LEI) is telling us that economic momentum is slowing and the economy is growing below trend. This was in sharp contrast to all the recession calls you saw in 2022 and 2023, including signals from other popular leading economic indicators.
What’s more, they’ll know that in light of today’s political and economic conditions and circumstances, they’ll have far more success with clients if they position the “explore the options” project in terms of current and projected cash flow savings rather than future estate tax savings or liquidity. Number 8860726.
In practice, support services from advisor platforms might include a wide range of consulting services – from compliance to an advanced planning team, operations to technology – that advisors could engage for a fee as needed.
We being a SEBI-regulated entity very well understand the importance of regulatory compliance. It’s an efficient way of blocking shady operators/hawala money from getting into the system and being used for activities that can threaten the economic, social, and financial stability of the country.
Introduction to GIFT City and Its Legal-Economic Status The Gujarat International Finance Tech-City, commonly referred to as GIFT City, is a landmark initiative by the Government of India aimed at creating a world-class financial centre within the country.
David Armstrong , Executive Director, Content and User Engagement at WealthManagement.com June 10, 2025 Economic uncertainty, heightened volatility and on-again, off-again trade policies are challenging for investors. Number 8860726.
From there, the latest highlights also feature a number of other interesting advisor technology announcements, including: JPMorgan has announced plans to shut down its robo-advisor offering after just four years, highlighting broadly the challenges of robo-advisors to overcome the challenging economics of acquiring and serving small clients, and in (..)
Compliance readiness is also signaling maturity to global partners and investors. Sustainable scaling is requiring revenue growth with a healthier unit of economics. Complex Market Regulations: Each country has a unique set of tax laws, import and export norms and standards, and compliance standards.
Our Customer Service Team will follow up and strive to resolve the requests manually one by one in close coordination with our security, operations and compliance team to ensure a smooth process. Meanwhile, we have created an AAX User Withdrawal Request Form for withdrawal and other operational requests.
" Related: What Behavioral Economics Shows us about How to Manage Investor Expectations During Market Uncertainty It's always been easy to make fun of ultra-rich families who willingly spend hundreds of thousands of dollars for admission counseling at white-glove outfits like IvyWise. Number 8860726.
For instance, their firm was sold, theyve outgrown the platform, the technology isnt sophisticated enough, the investment menu is limited, compliance is too onerousand certainly many more reasons specific to an advisors business. So, what makes their process of considering change noteworthy?
If economic growth is expected to be strong, there’s presumably less reason for the Fed to cut rates by a lot. It seems like investors are a tad over-optimistic about growth and projecting the strong recent economic numbers out into the future. But those numbers are backward looking. Looking ahead, there are risks.
Given our overall still positive economic backdrop, to see this much worry in the air is actually rather bullish and why we dont expect the recent weakness to spiral out of control. So, imports are just subtracting all the goods and services households and businesses buy from abroad, since it doesnt add to domestic economic activity.
Regulatory compliance costs continue to rise. In 2024, financial crime compliance alone cost Indian financial institutions ₹5.1 As it does so, it will play a crucial role in India’s economic growth story. The post Can Investment Banking be India’s Next Big Economic Driver? lakh crore.
Economic indicators across consumption, income, industry and the labor market don’t point to a recession. Let’s Call It Like It Is: The Economy Is Strong, and There’s No Recession on the Horizon A year ago, a Bloomberg Economics model projected a recession within the next 12 months with 100% probability.
The Fed Is Caught Between a Rock and a Cold Hard and Lonely Place Federal Reserve Chair Jerome Powell gave us the most detailed description of how the Fed is thinking about policy in the face of massive tariffs in a speech at the Economic Club of Chicago on Wednesday, April 16. Well close with something Powell pointed out at the event.
This is due in part to the increasing number of challenges facing the industry, such as inflation, economic uncertainty, and geopolitical tensions. Regulatory compliance : The regulatory landscape is constantly changing. Technology : The financial services industry is undergoing a period of rapid technological change.
These allocation methods reflect the complex economic arrangements within partnerships, where different partners may have varying rights and obligations. Section 704(b) of the tax coderequires these allocations to have a substantial economic effect beyond tax advantages, thereby preventing purely tax-motivated distribution schemes.
This involves ensuring compliance with all eligibility criteria, such as maintaining the correct entity type, monitoring asset levels, and adhering to the required holding period. This includes analyzing financial statement tax provisions, uncertain tax positions, and potential exposures from aggressive planning or compliance failures.
Economic data last week showed the economy slowing more than expected, adding to worries about a potential recession. Thursday’s set of economic data saw initial jobless claims rise to their highest level in a year, alongside a weak manufacturing ISM number. Houston, We Have Turbulence The S&P 500 fell 2.0% Source: St.
How to Anticipate and Navigate Property Tax Scenarios for Businesses ( Carl Hoemke , CPA Practice Advisor) Property taxes and business license compliance present a complex landscape, especially when significant business events involving mergers, acquisitions, or expansion occur. Did you miss last weeks edition? You can find it here.
What are the best practices for compliance in social media for financial advisors? To ensure compliance: Know the Regulations: Stay updated on industry regulations and guidelines from bodies like the SEC and FINRA. Pre-Approve Content: Work with your compliance team to pre-approve posts before they go live.
Economic Importance: This region plays an important role in Karnataka’s GDP contribution through its exports, job creation and the industrial outputs. Urban Integration Catalyst: With improved infrastructure and economical activities, Peenya will commence integrating morley closely to Bengaluru’s urbanized border.
Do you want to control the whole compliance part of the business? It wasn’t just psychological complacency, it was economic complacency. .’ Part of our first month or so that we work with someone is to get to know their goals and objectives and their company and all that stuff. But one of the elements is related to control.
And while there’s no guarantee that any job will be immune to cutbacks or layoffs, some industries weather economic storms better than others. CFOs typically have a deep understanding of economic theory and practice and strong analytical and problem-solving skills. Chief Compliance Officer. Insurance Advisor.
Yes, the number of jobs per month is slowing, but we expect continued growth throughout next year, which should support the consumer and suggests better-than-expected economic growth. Compliance Case # 02018534_121123_C The post Market Commentary: Things You Don’t See in a Recession appeared first on Carson Wealth. million this year.
Q2 GDP Growth Confirms Economic Resilience The economy grew at an annualized pace of 2.8% For markets, GDP is typically one of the least important economic data points because the numbers are relatively stale. At the same time, it’s the best broad measure of economic activity we have. This was well above expectations of a 2.0%
Worries over the fallout from the Middle East conflict has traders on edge, while US economic data has been slowing some, and the Federal Reserve (“Fed”) is continuing to hold rates firm (which we discuss in more detail below). A diversified portfolio does not assure a profit or protect against loss in a declining market.
We just received a tremendous amount of data to round out the economic picture in the second quarter (Q2). All This Points to Strong Economic Growth The Atlanta Fed puts out a “nowcast” of quarterly real GDP growth that is updated with major economic data releases. It’s a Bird. It’s a Plane! It’s … the U.S. over the past year.
The Bearish Narratives Look Even Worse Now We just got a slew of economic data revisions from the Bureau of Economic Analysis (BEA) and our first response was, Wow! There’s a reason why the S&P 500 has risen over 90% over this same period, and that was because economic activity drove profit growth. Guess What?
The surge in yields has come as economic data has shown signs of a much stronger and more resilient economy over the last three months. Ultimately, profits come from economic growth, and that will eventually play out — perhaps sooner rather than later, as earnings season kicks off in a couple of weeks.
As you can see, policy rate expectations have been creeping up since last summer, mostly as the labor market data has come in better than expected (along with other economic data). Compliance Case # 7521978.1._011325_C All of which largely explains why longer-term interest rates have surged as much as they have.
Portability:Will clients follow? Assessing the strength of client relationships and examining product transferability are the two key elements to determining portability.The first step is to divide clients into three buckets: those who will move, those who may move, and those who are unlikely to do so.
Leila has 10+ years of experience providing legal and compliance guidance to the financial services industry. She also served as a chief compliance officer (CCO) and general counsel to several multibillion-dollar companies before starting her own RIA compliance firm. The 3 types of reviews every advisor needs. Leila Shaver.
Given the somewhat gloomy economic expectations still baked into the market following the weaker-than-expected August 2 jobs report, the market response was decisively positive. S&P 500 Index gains weren’t the only sign that the retail sales report shifted the market picture of the economic outlook. versus a 0.2%
And how can advisors solve the dual mandate of allowing the Gen 2 advisor to inherit in a timely fashion while also making the retiring advisor economically whole? Also, it likely means ceding some control in any or all of the following areas: brand, compliance, investment autonomy, marketing, and operations.
Understand why compliance, engagement, and tracking success are vital for your social media efforts. Retirement savings Investment portfolio Overall economic outlook Survey: What financial planning topics do you want to learn about the most? You might also want to talk to a compliance expert.
And if economic growth remains resilient, bond yields should not be moving lower. But mid- and small-cap stocks, which are even more geared to economic growth, outperformed. Economic growth is what you need for profit growth, and that’s what drives returns. All this is very positive for the economy.
The late week rebound was supported by better economic data, including some good jobs-related numbers. But as the week progressed things calmed down and better economic data showed fears of a recession were once again overblown. This recent patch of volatility is really quite normal, even for good years for stocks.
The Conference Board’s widely followed Leading Economic Index finally had its first monthly gain after 23 consecutive months of declines. Throughout the current rally, we have deferred to our proprietary leading economic index, created by our Chief Macro Strategist Sonu Varghese, whose Ph.D. While our U.S.
Many economists believed factors such as the yield curve, M2 money supply, the Conference Board’s Leading Economic Indicators (LEI), and credit markets indicated trouble was coming and the consumer was cracking. But it is hard to consider this a negative event, and it will likely lead to better productivity and economic growth.
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