article thumbnail

Crafting An Annual Compliance Calendar For A (Solo) RIA: Staying On Top Of Compliance Tasks While Serving Clients

Nerd's Eye View

One of the most intimidating aspects of launching a solo advisory firm is the question of how to manage compliance. Putting all of this information together, it’s possible to create a compliance calendar that accounts for each task required, its frequency, and the due date for each.

article thumbnail

Compliance Calendar For A Solo RIA: Staying On Top Of Compliance Tasks While Serving Clients

Nerd's Eye View

One of the most intimidating aspects of launching a solo advisory firm is the question of how to manage compliance. Creating a compliance calendar for a solo RIA can help to systematize and manage compliance tasks, requirements and deadlines.

Insiders

Sign Up for our Newsletter

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

article thumbnail

If you are the Gardener of Governance, take out the weeds….

Norman Marks

A few years ago, my friend Dr. Rainer Lenz started talking about the internal auditor as the “gardener of governance”. In an article in EDPACS, Rainer explained (with my emphasis): Governance has been central to what internal auditing has been aspiring to do for a long time.

article thumbnail

8 Major Government Banks Received Penalties by RBI in 2023 – Check the details!

Trade Brains

In 2023, the RBI imposed monetary penalties on eight government banks, adding up to Rs. Keep reading to find out which government banks were penalized, the fines imposed, and the reasons behind the penalties! The post 8 Major Government Banks Received Penalties by RBI in 2023 – Check the details!

article thumbnail

MiB: Robyn Grew, Man Group CEO

The Big Picture

She is also a member of Man Group’s senior executive governance committee. Previously she was COO, General Counsel, Chief Administrative Officer, and Global Head of Legal and Compliance. Before joining the firm in 2010 as Chief Compliance Officer for Man GLG, Robyn held Sr.

article thumbnail

Upfront And Ongoing RIA Compliance Obligations Of State Vs SEC-Registered Investment Advisers

Nerd's Eye View

In the United States, Registered Investment Advisers (RIAs) are required to register in one of 2 ways: with the Federal government (namely the SEC) or with one (or more) state securities regulatory agencies.

article thumbnail

The Unique Hurdles of Real Estate ESG Compliance

Wealth Management

Real estate investment companies are facing a daunting task when it comes to properly reporting on vast quantities of data across environmental, social and governance factors. Here’s how technology can help.