Nerd's Eye View
DECEMBER 6, 2023
Ultimately, the key point is that understanding the intricacies of what it means to be an investment adviser, including the exceptions within the 'securities' component of the definition, is critical for financial coaches navigating the fine line between offering advice to clients and needing to register as an investment adviser.
International College of Financial Planning
MARCH 31, 2023
AI-powered tools can help financial institutions identify fraud, automate routine tasks, and provide personalized financial advice to customers. There is also an increasing demand for personalized financial services, with customers looking for products and services that meet their individual needs.
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MazumaBusinessAccounting
MAY 11, 2021
But you’ll want the financial advice and wisdom that comes from a seasoned professional as you figure out the type of business structure, or entity, that you need to set up for you business. When You Have To Deal With The Government. complete and file all legal paperwork and compliance documents for your business.
Sara Grillo
JANUARY 9, 2023
The move to financial planning transparency is aflame! in all aspects of financial advice, with a special focus on Advice Only, Flat Fee, and Hourly service models. Working with advocacy groups to influence policy, law and governance. For advise on such matters, contact a legal or compliance advisor.
Inside Information
OCTOBER 30, 2021
He very quickly offers a disclaimer about the effectiveness of disclosure in the past; whenever a regulator proposes actual rules governing reps and brokers, the industry quickly rushes to propose disclosure instead. . Putting Reg BI aside, what other initiatives is the Institute involved in? Rostad mentions disclosure.
Indigo Marketing Agency
MAY 5, 2020
John serves on the Government Affairs Committee for the National Association of Plan Advisors. As the “advisor to the advisors,” John is a highly sought after industry insider who travels the country educating groups of financial professionals on the very latest in retirement legislation, forecasts, and developments affecting the industry.
The Big Picture
DECEMBER 6, 2022
when I first moved from Spain, and I learned a lot because I spent a lot of time with financial advisors, which, as you know, is a key segment of our client base today. What is the financial advice world like in Europe? So a phenomenal learning experience with both Jefferies and Morgan Stanley. What’s it like in Spain?
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