BlueMind

FEBRUARY 11, 2022

Personal identification documents NAO documents Compliance forms including KYC (Know Your Client) and AML (Anti-Money Laundering) Estate documents Insurance documents Debt-related documents Tax Brokerage Account Statements IRA (Traditional and Roth) Statements 529 Plan Account Statements Bank Account Statements And so forth.

Compliance 52

Compliance Financial Advisor Electronics Clients 52

International College of Financial Planning

JUNE 14, 2023

It is important to note that a new NISM certification must be obtained before the expiry of the existing certificate to ensure compliance with guidelines. Upon receiving the fees, SEBI will issue the SEBI Registered Investment Advisor License, while BASL will issue a membership certificate.

Investment Advisor 52

Investment Advisor Investing Investments Certification 52

Trade Brains

MARCH 29, 2023

Any non-compliance in fulfilling the contractual obligations by the suppliers, increase in the cost of raw materials,s or any disruption in the supply chain will have an adverse impact on the business operations. Weaknesses The company acquires its raw materials from suppliers mainly on a purchase-order basis.

Electronics 52

Electronics Manufacturing License Compliance 52

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.

Banking 59

Banking Financial Services Consulting Retail 59

Trade Brains

MAY 6, 2023

The majority of the issues related to Yes Bank were related to corporate governance and compliance. The carrier also lost its flying license during the period. The company has also got its license back recently and may be at the cusp of a turnaround. By 2019, the bank was already one of the top four private lenders in India.

Banking 52

Banking License Government Investing 52

Sara Grillo

DECEMBER 12, 2022

He holds multiple FINRA licenses and he is associated with The Leaders Group, and independent broker-dealer. Charles King is a financial advisor licensed in 55 states and territories. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. Matt Pruitt, CFP®, CFA®. Charles King.

Financial Advisor 52

Financial Advisor Commission Clients Insurance 52

Sara Grillo

AUGUST 25, 2023

Pure fiduciaries These are advisors who hold no insurance or brokerage licenses and are considered pure fiduciaries. Note: Ryan holds both insurance and FINRA licenses. Services: Investment management, retirement planning, fee-based financial planning Note: Rodolfo holds insurance and FINRA licenses. 56 Capital Partners www.56capitalpartners.com

Financial Advisor 52

Financial Advisor Accounting License Financial Planning 52

FMG

DECEMBER 22, 2022

I followed realtors, lenders, creators, speakers, as well as non-licensed money bloggers to get some great ideas. I couldn’t pass up on the one-click compliance! I create a lot of content and didn’t want “submitting things to compliance” to become a time suck. What led you to update or create a new site with FMG?

Financial Advisor 52

Financial Advisor Compliance Clients Communication 52

The Big Picture

JANUARY 24, 2023

RITHOLTZ: — and having the guy — the attendant asked me, do you have an even number or odd number license plate? RITHOLTZ: My answer was, I’m 11, I don’t have a license plate, just give the kid a gallon of gas. KLINSKY: Right. Do you target specific returns for different types of investment?

Investing 257

Investing Investments Numbers Banking 257

Sara Grillo

MARCH 13, 2023

He holds Series 7 and 65 Securities Licenses in addition to a Life & Health Insurance License. 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.

Financial Advisor 59

Financial Advisor Assets Management License 59

Diamond Consultants

DECEMBER 20, 2022

The cherry on top was the expansion of affiliation models to include the ability to become an RIA, drop FINRA licenses, or gain more independence without the need to repaper. The feeling of vulnerability at the big firms will rise for advisors—with increased hyper-vigilant compliance scrutiny.

Recruitment 59

Recruitment Compliance Wealth Management Banking 59

Sara Grillo

JUNE 2, 2022

I have several issues with the methodology, namely: The advisor must have an “acceptable compliance record.” There are plenty of financial advisors with a long tenure in the business and spotless compliance records. ” Huh? When are we going to stop making excuses and let advisors wiggle out of their wrongdoings?

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

Tucker Advisors

AUGUST 9, 2021

What are the key points advisors need to beware of in order to be in compliance with the present definition/regulation regarding IRA rollovers? We provide the classes and we pay for many of the costs associated with obtaining the Series 65 license. Insurance-only agents are not licensed to offer investment advice. The client?

Financial Advisor 52

Financial Advisor License Clients Insurance 52

Brown Advisory

JANUARY 1, 2023

The business has progressed during the past three years as a result of strategic objectives on business digitisation, continued investment into the Premier Agency sales model, and expansion within mainland China through new provincial license approvals. In China alone, we believe AIA still has meaningful growth opportunities.

Investing 52

Investing Investments Valuation Clients 52

Sara Grillo

JUNE 20, 2022

But nothing was done until I voice that frustration and an email to compliance or to HR, I forgot who it was, did anything actually get done, ’cause from that conversation with that partner until the time I re-located to my practice to Tampa, I think it was probably about six months or so.

Financial Advisor 52

Financial Advisor Sales Commission Clients 52

Sara Grillo

SEPTEMBER 12, 2022

JR agrees, stating that 70% of CFP holders have insurance licenses. #4 Since 70% of CFP® mark holders have insurance licenses, anything they do on the insurance side (outside of variable products) is not regulated by the SEC. Nothing in this podcast or blog can be interpreted as legal or compliance advice.

CFP 80

CFP Financial Planner Ethics Financial Planning 80

The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Compliance 152

Compliance Wealth Management Clients Management 152

Sara Grillo

SEPTEMBER 26, 2022

In addition to his formal Education Robert Wright holds his FINRA Series 7 and 66 licenses, is a CERTIFIED FINANCIAL PLANNER Professional and holds Georgia Resident Life and Health Insurance. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

SEPTEMBER 5, 2023

And so it’s become more and more heated to the point where the appraisal subcommittee, which is allowed to monitor and review the appraisal foundation, the appraisal foundation is basically to maintain the verbiage of our license, our certification, what we’re supposed to do. RITHOLTZ: 44, I mean, it’s there for the taking.

Sales 130

Sales Numbers Taxes Marketing 130