Wealth Management

OCTOBER 26, 2023

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

Compliance 107

Compliance Financial Services 107

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 92

Compliance 92

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 97

Compliance 97

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 114

Compliance Clients 114

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 96

Compliance Management 96

Sara Grillo

FEBRUARY 23, 2024

Question from a subscriber: “Compliance is impossible to get my content through. My financial advisor compliance department take forever and nitpick every little thing!” If you steer clear of the obvious violations, it’s actually pretty easy to get your content approved by your compliance officer.

Compliance 52

Compliance Financial Advisor Media Clients 52

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 89

Compliance Marketing Marketing 89

Nerd's Eye View

NOVEMBER 22, 2023

In this guest post, Chris Stanley, investment management attorney and Founding Principal of Beach Street Legal, discusses in depth the various stages of buying, selling, and merging an investment advisory and financial planning business.

Compliance 183

Compliance Sales Financial Advisor Financial Planning 183

Wealth Management

SEPTEMBER 18, 2023

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

Compliance 93

Compliance Planning Retirement Planning Retirement 93

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 93

Compliance Planning 93

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 77

Compliance Investing Investments 77

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. However, the industry has also made significant progress in strengthening its risk management capabilities.

Risk Management 105

Risk Management Financial Services Management Compliance 105

Abnormal Returns

NOVEMBER 7, 2022

standarddeviationspod.com) Compliance Jason Zweig, "In 30 years of writing about the financial-advice industry, I never learned that advisers can provide less-comprehensive disclosures than stockbrokers." wsj.com) Advisers are scrambling to get into compliance with new advertising rules.

Compliance 256

Compliance Wealth Management Advertising Financial Advice 256

Wealth Management

FEBRUARY 28, 2023

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

Compliance 78

Compliance 78

Abnormal Returns

FEBRUARY 5, 2024

Podcasts Thomas Kopelman and Jacob Turner talk about how they manage their own finances. kitces.com) In an ideal world compliance is a conversation not a prescription. podcasts.apple.com) Steve Chen talks with Brian Portnoy, founder of Shaping Wealth, about forming a holistic approach to wealth. obliviousinvestor.com)

Compliance 204

Compliance Taxes Management Investing 204

Nerd's Eye View

APRIL 22, 2024

Notably, different affiliate platforms have different payout rates; those that pay out the most (and thus have the lowest fees) tend to cover relatively few functions such as compliance and technology, while those that pay out the least (and therefore have the highest fees) cover a significant amount of the advisor's overhead costs.

Compliance 210

Compliance Clients Financial Advisor Management 210

Brown Advisory

APRIL 13, 2022

Expats: Tax Compliance mhannan Wed, 04/13/2022 - 06:37 We help U.S.-connected Topics we plan to cover in this series are: Tax Compliance Problematic assets Trusts Roles and responsibilities Transatlantic marriages U.S./U.K. tax net In this post, we tackle tax compliance. Pitfalls for U.S. connected clients living in the U.K.

Compliance 52

Compliance Taxes Accounting Investment Planning 52

Abnormal Returns

OCTOBER 16, 2023

riabiz.com) Compliance Compliance is one of the biggest concerns of advisers. thinkadvisor.com) AI tools are coming for the compliance function. (riaintel.com) How many United Capital advisers will remain at Creative Planning when all is said and done?

Compliance 204

Compliance Financial Planner Financial Advice Investment Advisor 204

Nerd's Eye View

NOVEMBER 6, 2023

This month's edition kicks off with the news that Practice Intel has launched a new "growth platform" centered around quantifying the quality of an advisor's client relationships with an all-in "Relationship Quality Index" (RQI) – which while potentially valuable in helping advisors understand and improve their client experience (and subsequently (..)

Compliance 207

Compliance Valuation Financial Advisor Clients 207

The Big Picture

MAY 20, 2023

The firm manages about $145 billion in client assets and is the world’s largest publicly traded hedge fund. 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.

Compliance 307

Compliance Communication Government Banking 307

Abnormal Returns

JUNE 26, 2023

(wiredplanning.com) Daniel Crosby talks with advice non-compliance with Derek Hagen who is the founder of Money Health Solutions. standarddeviationspod.com) Michael Kitces talks about the challenges of retirement with Tony Hixon who is the Co-founder and COO for Hixon Zuercher Capital Management.

Wealth Management 212

Wealth Management Compliance Retirement Management 212

Wealth Management

JANUARY 9, 2024

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

Consulting 100

Consulting Compliance Marketing Marketing 100

The Big Picture

APRIL 22, 2023

 This week, we speak with Brian Hamburger , founder and chief executive officer of the business / regulatory compliance consultancy MarketCounsel , as well as the founder and chief counsel of the Hamburger Law Firm, a boutique law firm that focuses on investment and securities industry matters. Stanley and William D.

Compliance 293

Compliance Wealth Management Consulting Management 293

Abnormal Returns

AUGUST 14, 2023

humansvsretirement.com) Corey Hoffstein talks with Martin Tarlie, a Portfolio Manager at GMO, about bridging the gap between financial planning and portfolio management. thinkadvisor.com) Practice management What operational issues are holding back small and mid-sized RIAs?

Portfolio Management 202

Portfolio Management Compliance Portfolio Financial Planning 202

Wealth Management

APRIL 17, 2024

Verdence/RIA+ will continue to offer outsourced investment management, with added services around succession, compliance and more.

Compliance 89

Compliance Management Investing Investments 89

The Big Picture

APRIL 15, 2023

 This week, we speak with Joseph Baratta , who since 2012, has served as Global Head of Private Equity at Blackstone – the world’s largest alternative asset manager, with $975 billion in assets under management. He helped to build out Blackstone’s PE business in Europe in 2001, moving to London in 2001.

Consulting 278

Consulting Compliance Assets Management 278

Nerd's Eye View

NOVEMBER 2, 2022

In this guest post, Chris Stanley, investment management attorney and Founding Principal of Beach Street Legal, breaks down some of the key differences between the Federal and state registration application requirements, approval processes, and post-registration requirements for RIAs.

Compliance 130

Compliance Investing Investments Government 130

AdvicePay

MAY 22, 2024

They actively participated, raising key questions on compliance, managing payment transaction fees, and strategies for comprehensive financial planning during the Q&A. We are excited to share some of the top questions from the webinar.

Financial Planning 82

Financial Planning Compliance Planning Management 82

Wealth Management

DECEMBER 22, 2022

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

Compliance 105

Compliance Management Marketing Marketing 105

Risk Management Guru

SEPTEMBER 27, 2021

Founded by Boris Agranovich in 2010, the Global Risk Community (GRC) is the world’s leading community for Risk Managers. According to its official information, GRC is also the world’s first crowdsourced training platform for Risk Managers. Source: Risk Management Show.

Risk Management 52

Risk Management Management Compliance Government 52

Abnormal Returns

JULY 17, 2023

standarddeviationspod.com) Charles Schwab Charles Schwab ($SCHW) clients with $1 million in assets now are automatically enrolled in one of its private wealth management programs. advisorperspectives.com) Think twice, compliance-wise, before jumping onto Threads. riabiz.com) Should advisers care about Schwab's expanded HNW services?

Wealth Management 205

Wealth Management Compliance Engineering Clients 205

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.

Wealth Management 52

Wealth Management Management Risk Management Ethics 52

Abnormal Returns

MARCH 6, 2023

citywire.com) FutureAdvisor has transferred all its clients to Ritholtz Wealth Management. citywire.com) Compliance Why compliance needs to embrace technology and become nimbler. standarddeviationspod.com) The biz It's now clear that RIA M&A activity has slowed. fa-mag.com) Vanguard is closing its UK financial planning unit.

Compliance 146

Compliance Wealth Management CFP Financial Advice 146

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 96

Wealth Management Compliance Management 96

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. This engagement fosters a collaborative environment and enhances regulatory awareness.

Compliance 52

Compliance Risk Management Financial Services Management 52

Wealth Management

FEBRUARY 17, 2023

Wednesday, March 15, 2023 | 1:00 PM ET

Compliance 68

Compliance Management 68