Sara Grillo
JANUARY 9, 2023
As the move to transparency in financial planning takes hold, regulations are changing in Colorado and other states. Here’s the triumph of virtue that financial planning transparency will (FINALLY) bring to planners across the country and the benefits to clients that come along with it. What should financial advisors do?
The Big Picture
AUGUST 26, 2022
I reminded him that the Buy-side is regulated by the SEC, while the Sell-side is self-governed by an SRO. 1 In fact, the history of the NASD-R is one of an industry working hard to prevent close oversight by the government and to protect the largest of its members.
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Good Financial Cents
DECEMBER 14, 2022
As a financial executive, the chief financial officer (CFO) is responsible for the financial health of an organization. The CFO role is multi-faceted and includes everything from financial planning and analysis to business budgeting, financial decision-making, and risk management. Chief Compliance Officer.
International College of Financial Planning
MARCH 31, 2023
The increasing focus on compliance has led to higher costs and increased complexity for financial institutions. Regulatory changes are also expected to continue, with new laws and regulations impacting data privacy, cybersecurity, and financial stability.
Good Financial Cents
AUGUST 12, 2023
Understanding these rules or consulting a tax professional is vital to maximizing after-tax returns and compliance with tax laws. Active vs Passive Income Understanding the difference between active and passive income is essential for anyone looking to diversify their income streams and work towards financial stability or even independence.
WiserAdvisor
MARCH 13, 2024
Moreover, it provides you with a deeper understanding of your tax situation and enables you to make informed decisions regarding your financial planning for the remaining years of your retirement. Pillar 4: Estate planning Estate planning is often overlooked and deferred as an end-of-life task.
Indigo Marketing Agency
MAY 5, 2020
John serves on the Government Affairs Committee for the National Association of Plan Advisors. But no doubt that individuals have amassed a large amount of assets in their, what we call concentrated wealth at work or their retirement plans. So that’s another key decision point.
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