Financial Services Needs Compliance Aggregators
Wealth Management
OCTOBER 26, 2023
Compliance has not kept up with the current the dynamic regulatory environment and its multitude of requirements.
Importance of Compliance
Truemind Capital
FEBRUARY 16, 2024
We being a SEBI-regulated entity very well understand the importance of regulatory compliance. There is no denying that following the compliances is time-consuming, expensive, and hinders growth. Even we at Truemind crib sometimes that how much time and costs we have to spend on compliance.
Compliance 
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Risk Management in Financial Services During 2023 – 10 Key Highlights
Risk Management Guru
NOVEMBER 20, 2023
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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Top Compliance Challenges Financial Advisors Face
BlueMind
JULY 15, 2022
Category: Compliance. The Significance Of Financial Compliance Financial compliance requires all actions, procedures, guidelines, and business culture to abide by the rules and regulations set by the regulatory authorities of the financial market. Related: Compliance and Automation – An Ideal Unison!
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Weekend Reading For Financial Planners (May 6-7)
Nerd's Eye View
MAY 5, 2023
Enjoy the current installment of "Weekend Reading For Financial Planners" - this week’s edition kicks off with the news that the House Financial Services Committee unanimously passed a bill that would direct the SEC to conduct a study and carry out a rulemaking on the definition of a "small entity" to reduce the compliance burden on small businesses, (..)
The SEC’s Own Compliance Culture
Inside Information
APRIL 28, 2022
I’m beginning to think the term ‘compliance’ ought to be repurposed. Maybe you see something different, but from where I sit, there is no actual encouragement from federal regulators to go beyond (somewhat grudging) compliance and embrace higher standards. Like fiduciary, for example. It’s awful–and more of the same.
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Regulating Risk: Adapting to the Changing Landscape
Risk Management Guru
NOVEMBER 23, 2023
The regulatory landscape for risk management in financial services is constantly evolving, presenting a formidable challenge for firms and Banks striving to comply and manage their risk profiles effectively. These experts can provide valuable insights, tailored strategies, and hands-on support to ensure compliance and risk mitigation.
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#FA Success Ep 289: Coming Together As A Partnership To Serve Your Collective Community, With Kamila Elliott
Nerd's Eye View
JULY 12, 2022
We also talk about why Kamila intentionally shifted her career focus to build an independent practice after years of working with clients and realizing how few looked like her, how despite working hard, Kamila was frustrated she was not receiving the recognition and compensation she felt she deserved and ultimately decided to follow the advice she (..)
Robinhood Crypto Unit Fined $30M by New York Regulator
Wealth Management
AUGUST 2, 2022
The New York State Department of Financial Services alleges Robinhood lacked sufficient staff and resources to ensure compliance with the Bank Secrecy Act and anti-money-laundering rules.
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How can I be sure my financial advisor isn’t going to steal my money?
Sara Grillo
APRIL 19, 2024
Protect yourself from the financial services industry There are alot of scumbag financial advisors out there. Let me leave you with these final resources to help you find an honest financial advisor who won’t steal your money: #1 If you have any questions as you search for a financial advisors, send me a note.
Webinar Recap: Highlights From our Enterprise Roundtable ??
AdvicePay
JUNE 22, 2022
Powered by innovative technologies, the financial planning business model is rapidly evolving into a sustainable fee-based revenue stream. The financial services enterprise companies that have already empowered their advisors to implement the latest approaches demonstrate powerful growth and are driving incremental revenues to scale.
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Best Practices for Using Testimonials in Your Marketing
Indigo Marketing Agency
AUGUST 2, 2021
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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Weekend Thoughts – SBF, Interest Rates & Jobs
Discipline Funds
OCTOBER 6, 2023
Liars Poker was a book that both excited me about getting into the financial services industry and also made me deeply question the motives of people in the financial services industry. You see, most financial services ponzi schemes start with good intentions.
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Introducing the security management partner
SEI
SEPTEMBER 13, 2022
In this impact brief, Joseph Krull addresses the state of cybersecurity for financial services and introduces the security management partner concept to bring financial industry precision to financial institution security. Many organizations have used outsourced cybersecurity services, often with mixed results.
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What Do Financial Adviser Designations Mean? What are the Letters after a Name?
Carson Wealth
JULY 12, 2022
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.
The Independent Contractor Question
Inside Information
APRIL 1, 2024
You may have read, in passing, that the Financial Services Institute—the broker-dealer lobbying organization—has filed a lawsuit in the U.S. The BDs don’t set work hours, but their compliance regime does supervise client communications—but not the planning advice given or the way portfolios are managed.
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#FA Success Ep 305: Accelerating Growth Of (Fee-Only) Clients By Making It Clear You Have Nothing To Sell, With Mindy Crary
Nerd's Eye View
NOVEMBER 1, 2022
In this episode, we talk in-depth about why Mindy attributes the success of her practice’s structure to the realization that she does not enjoy selling products or investment management (or dealing with compliance that goes with them) and could more efficiently scale with an advice-only approach to one-year financial planning engagements that (..)
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When Does A Financial Coach Need To Register As An Investment Adviser? The “ABCS” Test To Determine Status
Nerd's Eye View
DECEMBER 6, 2023
Over the past several years, the financial services industry has undergone a tremendous evolution in how financial advisers deliver and charge for their services. While commission-based models remain in use, fee-for-service models (including AUM, hourly, retainer, and subscription) have become increasingly popular.
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Future of Finance Industry: Trends and Predictions
International College of Financial Planning
MARCH 31, 2023
Technology and Innovation in Finance: The rise of fintech startups has disrupted the traditional banking industry, with many new players emerging to offer innovative financial services. This will lead to increased innovation, more personalized financial products, and a better overall customer experience.
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Market Commentary: Things You Don’t See in a Recession
Carson Wealth
DECEMBER 11, 2023
The NASDAQ 100 Index includes publicly-traded companies from most sectors in the global economy, the major exception being financial services. Compliance Case # 02018534_121123_C The post Market Commentary: Things You Don’t See in a Recession appeared first on Carson Wealth.
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KFin Technologies IPO Review – Strengths, Weaknesses & More
Trade Brains
DECEMBER 15, 2022
KFin Technologies Limited, incorporated in 2017, is a leading technology-driven financial services platform. The company provides comprehensive services and solutions to the capital markets ecosystem including asset managers and corporate issuers across asset classes in India. Keep reading to find out!
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Integrated Diploma in Wealth Management: A Comprehensive Program for Aspiring Wealth Managers
International College of Financial Planning
MARCH 31, 2023
Wealth management is an important aspect of the financial world that focuses on managing wealth to help individuals and families achieve their financial goals. Wealth management involves a range of financial services as an investment, finance, real estate, tax, and risk management.
Flat fee advisor list by state
Sara Grillo
MARCH 22, 2024
Steven Kampschmidt Home Freedom Found Financial Andy Panko [link] Tenon Financial New Mexico Jose Sanchez [link] Flat fee financial planning for families living with and through Alzheimer’s New York State Laura Rotter www.trueabundanceadvisors.com I am an annual retainer, flat fee advisor.
Bajaj Finance: Why did RBI stop eCOM and Insta EMI Card?
Trade Brains
NOVEMBER 16, 2023
lakh for non-compliance with the RBI directions. crore for violating directions issued by RBI on managing risks and code of conduct in outsourcing financial services. Second – Penalty on Bajaj Finance for not adhering to rules On October 13th of this year, the RBI imposed a monetary penalty of Rs.
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How does this financial advisor charge 60-80% lower fees without going BROKE?
Sara Grillo
DECEMBER 11, 2023
The goal is to educate people so they can steer clear of the traps the financial services industry sets for them. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advise on such matters, contact a legal or compliance advisor.
5 Benefits of Using E-Signatures in Financial Advisory
BlueMind
MARCH 10, 2022
Related Read: Reducing Compliance Risk with Technology. E-Signature Improves Efficiency In the financial advisory business, one of the most toiling and monotonous tasks for you is managing paperwork. E-Docs Ensures Compliance and Increased Security Following regulatory compliance is an extremely important matter for you as an advisor.
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Large Cap Stocks With High NPM – Stock List, Analysis & More
Trade Brains
MARCH 11, 2024
Operating Profit Margin (%) 49.67% Net Profit Margin (%) 44.36% Large Cap Stocks With High NPM #2 – Oracle Financial Services Oracle Financial Services Software Limited is a subsidiary of Oracle, a world leader in providing financial technology solutions across retail banking, corporate banking, risk, financial crime, and compliance management.
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Reclaiming Professionalism
Inside Information
APRIL 26, 2024
The Financial Services Institute would tell regulators that they would be ‘forced’ to give up their smaller accounts if they were regulated as fiduciaries. Examples abound. They also argue, over and over again, that regulation would reduce ‘choice’ in the marketplace. (In
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Techknowgreen Solutions IPO Review – GMP, Details, Price & More
Trade Brains
SEPTEMBER 17, 2023
Techknowgreen Solutions IPO Review: About the Company Techknowgreen Solutions Limited was incorporated in 2001, it is an environment consulting firm that provides environment consulting services. Registrar to the Issue: Bigshare Services Private Limited. Cr Fresh Issue ₹16.72
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Market Commentary: Bulls Smile at January and February Market Gains
Carson Wealth
MARCH 4, 2024
The NASDAQ 100 Index includes publicly-traded companies from most sectors in the global economy, the major exception being financial services. Compliance Case # 02140331_030424_C The post Market Commentary: Bulls Smile at January and February Market Gains appeared first on Carson Wealth.
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Market Commentary: Reasons To Be Thankful
Carson Wealth
NOVEMBER 27, 2023
The NASDAQ 100 Index includes publicly-traded companies from most sectors in the global economy, the major exception being financial services. Compliance Case # 01997363_112723_C The post Market Commentary: Reasons To Be Thankful appeared first on Carson Wealth.
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12 Best Paying Jobs in Finance in 2023
Good Financial Cents
DECEMBER 14, 2022
After all, people will always need financial services, whether investing their money , taking out loans, or managing their taxes. Employment numbers for Financial Managers are expected to rise by 17% over the next decade, faster than the average for all occupations. Chief Compliance Officer. Financial Examiner.
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FFIEC Cybersecurity Assessment Tool
SEI
SEPTEMBER 21, 2022
Auditors increasingly request institutions to complete the assessment to demonstrate compliance, making CAT widely used across financial services. As a highly regulated financial institution, audits are an ongoing process and an investment in cybersecurity is a priority. Domain 5: Cyber incident management and resilience.
Financial Advisor Marketing Companies: Top 10 Companies To Work With In 2020
Indigo Marketing Agency
DECEMBER 18, 2019
That’s why top advisors outsource their marketing to proven professionals that understand our industry and compliance. . But which marketing companies for financial advisors will help you grow your assets under management (AUM) and which are a waste of money? Twenty Over Ten is a website platform built for the modern financial advisor.
IREDA IPO Review – GMP, Price, Details & More
Trade Brains
NOVEMBER 15, 2023
Some of the company’s competitors include Power Finance Corporation Limited, India Infradebt Limited, REC Limited, Tata Cleantech Capital Limited and PTC India Financial Services Limited. Such non-compliance in the future can adversely affect the company’s reputation, cash flows and results of operations.
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The Lobbying ‘Tell’
Inside Information
MAY 30, 2023
Another uncomfortable fact is that these BDs have enormous compliance departments which supervise all of the communications put out by the reps and their offices—which is required by FINRA. The compliance people have to pre-approve their communications. Sales are important, but the BD executives won’t be talking about that.
Celebrating Independence: Different Perspectives on How to Achieve Greater Freedom and Control
Diamond Consultants
JULY 7, 2022
These advisors might outsource some compliance or back-office functions, but for the most part, they handle everything in-house—from the tech stack to marketing to investments. They have no interest in managing compliance, middle- and back-office functions, or putting toner in the copy machine.
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Market Commentary: More Seasonal Choppiness
Carson Wealth
SEPTEMBER 18, 2023
The NASDAQ 100 Index includes publicly-traded companies from most sectors in the global economy, the major exception being financial services. Compliance Case # 01904404_091823_C The post Market Commentary: More Seasonal Choppiness appeared first on Carson Wealth.
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Market Commentary: Another October Low Forming?
Carson Wealth
OCTOBER 23, 2023
The NASDAQ 100 Index includes publicly-traded companies from most sectors in the global economy, the major exception being financial services. Compliance Case # 01945554 _102323_C The post Market Commentary: Another October Low Forming? appeared first on Carson Wealth.
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A Financial Advisor’s Guide to YouTube
FMG
OCTOBER 2, 2023
This could include: “A day in the life of our CEO” “Meet our team“ “Welcome to our new office” Transparency is everything in the financial services industry, and what better way to do that than to give users a glimpse into your office’s life? Product Reviews As an advisor, it’s likely you offer your clients access to a portal.
Market Commentary: Strong Starts to the Year Are Usually Bullish for Stocks
Carson Wealth
APRIL 1, 2024
The NASDAQ 100 Index includes publicly-traded companies from most sectors in the global economy, the major exception being financial services. Compliance Case # 02179795_040124_C The post Market Commentary: Strong Starts to the Year Are Usually Bullish for Stocks appeared first on Carson Wealth.
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Don’t fall for the BS – use these RAW and REAL tips to find a financial advisor!
Sara Grillo
DECEMBER 22, 2023
The goal is to educate people so they can steer clear of the traps the financial services industry sets for them. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advise on such matters, contact a legal or compliance advisor. Sara G Sources Rostad, Knut. (9 9 Sept 2013).
Top Indian Stocks Held By JP Morgan – Portfolio Analysis!
Trade Brains
SEPTEMBER 22, 2023
Operating Profit Margin (%) 18 Healthcare, retail, aerospace and defence, government, banking and financial services, engineering and construction, oil and gas, retail, travel and transportation, media, education, the automobile industry, and consumer electronics are just a few of the sectors Wipro supports. Stock P/E (%) 19.53
Market Commentary: Markets React to Inflation
Carson Wealth
APRIL 15, 2024
The NASDAQ 100 Index includes publicly-traded companies from most sectors in the global economy, the major exception being financial services. Compliance Case # 02200967_041524_C The post Market Commentary: Markets React to Inflation appeared first on Carson Wealth.
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