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Importance of Compliance

Truemind Capital

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.

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Risk Management in Financial Services During 2023 – 10 Key Highlights

Risk Management Guru

As the year 2023 draws to a close, it’s time to reflect on the significant strides made in the realm of Risk Management within the financial services industry. Greater use of data and analytics : Financial services firms are using data and analytics to identify and manage risks more effectively.

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Best Practices for Using Testimonials in Your Marketing

Indigo Marketing Agency

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.

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Market Commentary: Another October Low Forming?

Carson Wealth

Retail and food service sales have increased at an 8.6% Economic indicators across consumption, income, industry and the labor market don’t point to a recession. The data shows we’re clearly not in a recession, and economic momentum suggests that’s unlikely to change over the next three to six months.

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What Do Financial Adviser Designations Mean? What are the Letters after a Name?

Carson Wealth

Financial service professionals like Tammy climb a competence stairway to work with clients. In this blog, we’ll break down industry jargon, share what various credentials indicate and explain why the financial services industry is so regulated. . Registration Standards for Financial Advisors.

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Market Commentary: Is “Sell in May” Still Relevant?

Carson Wealth

Here’s the Big Picture As noted above, economic growth remains strong when factoring in the most important parts of the economy: household consumption, investment, and even government spending. Stronger economic growth plus more inflationary pressure means the economy is growing quite rapidly in nominal terms (before adjusting for inflation).

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Market Commentary: Strong Starts to the Year Are Usually Bullish for Stocks

Carson Wealth

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.