Wealth Management

OCTOBER 26, 2023

Compliance has not kept up with the current the dynamic regulatory environment and its multitude of requirements.

Compliance 290

Compliance Financial Services 290

Nerd's Eye View

APRIL 26, 2023

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. Read More.

Compliance 246

Compliance Clients Advertising Accounting 246

Wealth Management

SEPTEMBER 26, 2024

Once complete and available, the Intelligent Agent should help relieve the burden of manual communications review on compliance officers.

Compliance 274

Compliance Communication 274

Nerd's Eye View

APRIL 26, 2023

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.

Compliance 246

Compliance Clients Accounting Advertising 246

Wealth Management

JULY 5, 2023

Advisors who said they don't have enough time with their clients spend an average 41% more time every month than peers on compliance, administrative and other “non-value-added” tasks, according to a new J.D. Power survey.

Compliance 312

Compliance Clients 312

Wealth Management

SEPTEMBER 12, 2023

With the “free money” well running dry, compliance is one area that heavily regulated firms should think long and hard about before cutting to conserve cash.

Compliance 289

Compliance 289

Wealth Management

SEPTEMBER 18, 2023

Do not forget the basics regarding compliance and ligitation of 401(k) retirement plans.

Compliance 296

Compliance Planning Retirement Planning Retirement 296

Wealth Management

DECEMBER 9, 2022

The digital revolution has made compliance issues more numerous and complicated than ever. Leaders in the space discuss how they're helping advisors manage risk.

Compliance 264

Compliance Management 264

Wealth Management

JUNE 12, 2025

What Are the Best Asset Classes for Active Management? Low-cost passive wrappers work well for core equity investing, but certain asset classes are more conducive to active management.

Assets 145

Assets Management Wealth Management Risk Management 145

Wealth Management

JULY 18, 2024

Regulatory intelligence, data management, smart workflow and data security are key tenets compliance officers will need their tools to meet going forward.

Wealth Management 278

Wealth Management Management Compliance 278

Wealth Management

JULY 26, 2023

By approaching compliance as a strategic opportunity rather than a regulatory burden, advisors can successfully navigate the maze and build a stronger practice.

Compliance 246

Compliance 246

Wealth Management

JUNE 24, 2024

United Planners' collaborative culture aids advisors in serving clients while ensuring compliance issues are met.

Compliance 243

Compliance Clients 243

Wealth Management

JUNE 12, 2025

The group is the latest sign of the Board’s focus on AI; last month, it released an AI-assisted test prep course and unveiled compliance checklists for advisors using Gen AI earlier this year.

CFP 210

CFP Compliance 210

Wealth Management

OCTOBER 11, 2024

Our tech columnist discusses AI and compliance with the chief executive of one of the industry’s largest providers of communications compliance technology.

Compliance 264

Compliance Communication 264

Nerd's Eye View

OCTOBER 11, 2023

However, this "Compliance Rule" did not technically require that the annual compliance review of policies and procedures be conducted in writing, even though advisers were required to maintain records if they did document such reviews in writing! the SEC's new marketing rule). the SEC's new marketing rule).

Compliance 246

Compliance Financial Planning Planning Investments 246

Wealth Management

SEPTEMBER 13, 2022

Speakers at the Future Proof wealth festival on how compliance can move a cost of doing business to a valuable business function to be marketed—and monetized.

Compliance 246

Compliance Marketing Marketing 246

Wealth Management

NOVEMBER 16, 2022

An aggressive regulatory push by the SEC is behind the "major shift" in resources, according to Hearsay Compliance Principal Bill Simpson.

Compliance 246

Compliance Planning 246

Wealth Management

FEBRUARY 28, 2023

The newly-released tool seeks to automate multiple compliance processes, including share class monitoring.

Compliance 243

Compliance 243

Wealth Management

MARCH 13, 2023

Commissioner Mark Uyeda argued that such dates all can’t “hit at the same time” during a discussion at the Investment Adviser Association Compliance Conference.

Compliance 243

Compliance Investments Investing 243

Abnormal Returns

JUNE 16, 2025

youtube.com) Michael Kitces talks compliance with Leila Shaver, founder of My RIA Lawyer. wsj.com) Practice management There is a big difference between being an adviser an running an advisory business. larryswedroe.substack.com) How to manage the risk of a concentrated equity position.

Estate Planning 157

Estate Planning Compliance Engineering Retirement 157

Wealth Management

DECEMBER 22, 2022

While the marketing rule went into effect last year, advisors had until November 2022 to get into compliance.

Compliance 305

Compliance Management Marketing Marketing 305

Nerd's Eye View

AUGUST 28, 2024

Historically, advisors haven't had many avenues to manage clients' 401(k) plan accounts, since unlike traditional custodial investment accounts, advisors generally lack discretionary trading authority in employer-sponsored retirement plans.

Assets 246

Assets Management Clients Compliance 246

Carson Wealth

FEBRUARY 4, 2025

Understanding Tax Compliance and Risk Management Ultra-high-net-worth individuals face unique tax challenges, including high rates and ever-changing complex tax codes. If managed improperly or inefficiently, tax issues could significantly erode your familys wealth and even lead to legal complications.

Risk Management 52

Risk Management Compliance Taxes Management 52

Wealth Management

OCTOBER 27, 2022

Aaron Klein, co-founder and chief executive officer of Riskalyze, discusses how firms can leverage compliance as a tool for growth.

Wealth Management 278

Wealth Management Compliance Management 278

Wealth Management

JUNE 3, 2025

Learn why deregulation doesnt mean relaxed compliance for financial firms. The SEC's off-channel communication probe resulted in $1.8B

Compliance 163

Compliance Communication 163

Nerd's Eye View

DECEMBER 17, 2024

Fran is the CEO of Toler Financial Group, a DBA firm under the RIA Rossby Financial, in Silver Spring, Maryland, that oversees nearly $200 million in assets under management for 280 client households.

Compliance 244

Compliance Financial Advisor Financial Advice Clients 244

Wealth Management

JANUARY 9, 2024

Sander Ressler's Vidiance aims to deliver client testimonials compliant with SEC marketing rules.

Consulting 289

Consulting Compliance Marketing Marketing 289

Wealth Management

JUNE 24, 2024

Why recent trends have seen business owners shift to consolidation.

Compliance 246

Compliance 246

Nerd's Eye View

JANUARY 3, 2025

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with a recent survey indicating that a majority of advisors are viewing new client acquisition as their primary challenge in the current competitive environment for financial advice (followed by compliance and technology management) and suggests (..)

Financial Planner 246

Financial Planner Retirement Planning Financial Advice Financial Advisor 246

Nerd's Eye View

JANUARY 31, 2025

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that following the change of administration (and a new incoming chair of the SEC), the Investment Adviser Association is seeking to find ways to help RIAs (particularly smaller firms) manage the compliance responsibilities they (..)

Financial Planner 245

Financial Planner Retirement Planning Compliance Valuation 245

Wealth Management

OCTOBER 31, 2023

The modern workplace requires financial firms to move with the times.

Compliance 304

Compliance Communication 304

Wealth Management

JUNE 17, 2025

AUM from UBS In addition to Sandrew, Mariner also named Verne Marble to the role of managing director of Mariner Independent. Mariner launched its independent channel in 2020, offering back-office support, practice management, marketing, investment and compliance to affiliated advisors. Number 8860726.

Wealth Management 165

Wealth Management Estate Planning Compliance Planning 165

Nerd's Eye View

AUGUST 28, 2024

Historically, advisors haven't had many avenues to manage clients' 401(k) plan accounts, since unlike traditional custodial investment accounts, advisors generally lack discretionary trading authority in employer-sponsored retirement plans.

Assets 245

Assets Management Compliance Retirement Planning 245

Nerd's Eye View

JUNE 5, 2024

If they want to continue to grow and increase their capacity, they'll need to make several important decisions and address a plethora of legal and compliance requirements not only to avoid potential legal issues but also to ensure that their business will continue to operate smoothly.

Compliance 189

Compliance Clients Consulting Accounting 189