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, (..)

Financial Planner 191

Financial Planner Financial Services Electronics Compliance 191

Nerd's Eye View

JANUARY 13, 2023

FINRA has released its enforcement priorities for 2023, including a continued focus on compliance with Regulation Best Interest as well as several new priority topics, such as manipulative trading, fixed-income pricing, and trading in fractional shares. How stocks and bonds tend to perform following their biggest down years.

Financial Planner 166

Financial Planner Retirement Planning Compliance Retirement 166

Nerd's Eye View

AUGUST 4, 2023

While the downgrade has made headlines and might be startling to advisory clients (particularly those with significant portfolio allocations to U.S. government's creditworthiness from an AAA rating to AA+.

Financial Planner 197

Financial Planner Retirement Planning Compliance Retirement 197

Abnormal Returns

MAY 22, 2023

advisorperspectives.com) Direct indexing involves two parts: index construction and portfolio management. kitces.com) Compliance costs are only going to grow, whether internal or outsourced. wealthmanagement.com) Going solo Three questions to ask before launching a new advisory practice.

Financial Advising 130

Financial Advising Estate Planning Wealth Management Compliance 130

Nerd's Eye View

MARCH 13, 2023

However, the reality is that it’s very expensive to build and maintain technology, especially when considering the full range of CRM, portfolio management, financial planning, and more than a dozen other sub-categories of technology that financial advisors use in their firms. broker-dealers, RIA aggregators, TAMPs, etc.)

Compliance 179

Compliance Portfolio Management Planning Financial Advisor 179

Nerd's Eye View

FEBRUARY 17, 2023

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the SEC is proposing to expand the adviser custody rule beyond securities and funds to cover all assets in a client’s portfolio, including private securities, real estate, derivatives, and cryptoassets.

Financial Planner 189

Financial Planner Fiduciary Duty Retirement Planning Compliance 189

Million Dollar Round Table (MDRT)

OCTOBER 17, 2023

It might be new courses I want to take, compliance seminars and so forth. I look at my investment properties and portfolios as well as my other business interests. I look at any career development I want to do for the upcoming year. Also, what do I need to do to get my staff upskilled? How’s my revenue?

Compliance 94

Compliance Portfolio Planning Investing 94

Nerd's Eye View

JUNE 21, 2023

In addition to collecting the required reports, the firm’s Chief Compliance Officer (CCO) also has certain review requirements.

Ethics 176

Ethics Fiduciary Duty Compliance Clients 176

Nerd's Eye View

MAY 2, 2023

We also talk about why despite being a CFA charterholder Jake outsources investment management to First Ascent – for which clients pay an entirely separate additional fee – because it both allows him to simplify compliance to not manage investments in-house, and takes away the cost pressure of having to hire a separate employee to just (..)

Financial Advisor 213

Financial Advisor Financial Planning Clients Planning 213

The Big Picture

AUGUST 26, 2022

Say what you will about Cathy Woods and ARKK, but a concentrated portfolio like hers makes more sense as a satellite to Vanguard’s Total Stock Market Index ETF (VTI) or the S&P 500 (SPY) versus this unholy mess of high-cost high turnover SMA.

Accounting 353

Accounting Government Assets Management 353

Sara Grillo

APRIL 11, 2022

We’re going to talk about how he provides high value as an hourly financial advisor by saving investors from the “Humpty Dumpty portfolio” and the lessons other advisors can learn about serving clients with simplicity, transparency, and integrity, whether they choose to adopt the hourly fee model or not.

Financial Advisor 52

Financial Advisor Portfolio Clients Management 52

Trade Brains

NOVEMBER 21, 2023

crores on June 22 Reason for imposing the penalty is for non-compliance with certain directions issued by RBI on ‘Loans and Advances – Statutory and Other Restrictions’ and the Advisory on ‘Man in the Middle (MiTM) Attacks in ATMs’ (the Advisory). Bank of Maharashtra Penalty imposed: ₹1.45 State Bank of India Penalty imposed: ₹1.3

Government 59

Government Banking Compliance Accounting 59

International College of Financial Planning

JANUARY 31, 2024

Risk Management and Compliance: Vital for risk management and audit professionals, this area focuses on identifying and mitigating risks while ensuring regulatory compliance.

Certification 52

Certification Education Financial Planning Wealth Management 52

Trade Brains

FEBRUARY 26, 2024

Source: RHP Strengths of the Investment Trust Sizeable portfolio of stable revenue: The Company has a portfolio of 7 highway assets of a cumulative length of 497 km. Geographically diversified portfolio: The InvIT consists of operational HAM assets that are diversified across five states of India. Investment Rs.

Government 59

Government Assets Compliance Transportation 59

Brown Advisory

SEPTEMBER 12, 2016

From our CEO: How We Help Clients Build Sustainable Portfolios achen Mon, 09/12/2016 - 08:16 Last year, we published our first special edition of The Advisory focused on sustainable investing. We begin with advice— an in-depth engagement and discovery process to learn exactly how you view the intersection of your values with your portfolio.

Portfolio 52

Portfolio Clients Investing Investments 52

Brown Advisory

SEPTEMBER 12, 2016

From our CEO: How We Help Clients Build Sustainable Portfolios. We begin with advice— an in-depth engagement and discovery process to learn exactly how you view the intersection of your values with your portfolio. The goals you express during our discovery process dictate the types of solutions used in your portfolio.

Portfolio 52

Portfolio Clients Investing Investments 52

BlueMind

SEPTEMBER 3, 2022

Asking relevant questions will help you determine how willing or averse they are to taking risks, you can guide them to select the best risk directive or model portfolio to achieve their goals. Related: Compliance and Automation – An Ideal Unison! What Does The Word “Risk” Mean For Your Clients?

Risk Tolerance 105

Risk Tolerance Clients Portfolio Financial Advisor 105

Sara Grillo

APRIL 19, 2024

2 Consider Advice-Only Planning The other thing you could do would be to hire an advisor to give you advice but not manage the portfolio. 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. It is called advice-only planning.

Financial Advisor 97

Financial Advisor Financial Advice Accounting Compliance 97

International College of Financial Planning

MARCH 31, 2023

Good organizational skills to manage multiple clients and their portfolios. Excellent analytical and problem-solving skills to help clients achieve their financial goals. In-depth knowledge of financial markets and investment products. Strong networking skills to build relationships with clients, colleagues, and industry professionals.

Wealth Management 52

Wealth Management Management Risk Management Ethics 52

WiserAdvisor

AUGUST 31, 2023

They can provide ongoing support so you can continue investing after retirement, monitor market fluctuations, and make necessary adjustments to your retirement portfolio. Your investment risk appetite is lowered, and it is important to readjust your portfolio accordingly. At the same time, they can also minimize the tax impact.

Financial Advisor 90

Financial Advisor Retirement Risk Tolerance Estate Planning 90

Trade Brains

SEPTEMBER 17, 2023

The company has established itself in 3 business verticals, Consulting : Environment Impact Assessment, ESG and Climate Change, Environmental Compliance, Environmental Due Diligence, DPR and designing, Training and sensitization, Environmental crime investigation. Are you applying for this IPO? Let us know in the comments below.

Consulting 59

Consulting Compliance Government Clients 59

Carson Wealth

JANUARY 16, 2024

Just as importantly, with higher starting yields and falling inflation, bonds are less vulnerable to losses and are once again more likely to add ballast to a portfolio during periods of volatility. Balanced Portfolio Trends of the past may continue or could suddenly reverse. Aggregate Bond Index would be perfectly satisfactory.

Investing 96

Investing Investments Marketing Marketing 96

Carson Wealth

DECEMBER 11, 2023

A diversified portfolio does not assure a profit or protect against loss in a declining market. Compliance Case # 02018534_121123_C The post Market Commentary: Things You Don’t See in a Recession appeared first on Carson Wealth.

Marketing 143

Marketing Marketing Economy Compliance 143

Inside Information

APRIL 1, 2024

One might argue that the reps are paying for access to commissionable products, and the other primary benefit they receive is compliance supervision—making sure they are in fairly strict compliance with the sales-related rules that FINRA and the SEC have promulgated.

Compliance 40

Compliance Commission Sales Financial Services 40

International College of Financial Planning

JUNE 14, 2023

It can involve guidance on buying or selling securities, portfolio management, and other relevant financial products. Individuals associated with investment guidance must possess at least two years of experience in financial offerings, securities, funds, or portfolio management.

Investment Advisor 52

Investment Advisor Investing Investments Certification 52

Good Financial Cents

AUGUST 12, 2023

EXPERT TIP: Consider starting small and gradually building your passive income portfolio. Understanding these rules or consulting a tax professional is vital to maximizing after-tax returns and compliance with tax laws. For instance, rental income may be subject to specific property tax rules.

Risk Tolerance 58

Risk Tolerance Taxes Compliance Retirement 58

WiserAdvisor

MARCH 13, 2024

It is instrumental in diversifying your portfolio , capitalizing on market opportunities, and safeguarding your financial future against the erosive effects of inflation. Diversification helps mitigate concentration risk and enhances the stability and resilience of your investment portfolio over time.

Retirement Planning 105

Retirement Planning Retirement Planning Estate Planning 105

Trade Brains

NOVEMBER 16, 2023

lakh for non-compliance with the RBI directions. He also admitted that the company issues 3 million loans monthly and deals with 1,500 complaints per quarter. Second – Penalty on Bajaj Finance for not adhering to rules On October 13th of this year, the RBI imposed a monetary penalty of Rs.

Compliance 59

Compliance Financial Services Insurance Numbers 59

Brown Advisory

JANUARY 17, 2024

One of our colleagues, Ken Stuzin, likens portfolio construction to Darwinian Investing – it is about survival of the fittest. In a concentrated portfolio, it is the losers that kill you. What sort of hit rate should we then expect within their portfolio? 5 As Table 2 below highlights, this team appears to be seriously good!

Investing 52

Investing Investments Portfolio Compliance 52

Carson Wealth

APRIL 17, 2023

The algorithm additionally weighs factors such as service models, compliance records and industry experience, and focuses on those that encompass best practices in their approach to working with clients. Portfolio performance is not a criterion due to varying client objectives and lack of audited data.

Wealth Advisor 52

Wealth Advisor Compliance Clients Financial Advisor 52

Gemini BITRIA

DECEMBER 19, 2021

Topics Include: Managing Crypto assets vs. traditional securities Understanding Crypto custody and Compliance The advantages of Crypto SMAs compared with Funds and Trusts Crypto Investing Strategies How to Choose a Crypto SMA.

Financial Advisor 52

Financial Advisor Compliance CFP Portfolio Management 52

Carson Wealth

APRIL 29, 2024

A diversified portfolio does not assure a profit or protect against loss in a declining market. Compliance Case # 02219915_042924_C The post Market Commentary: Is “Sell in May” Still Relevant? The NASDAQ 100 Index includes publicly-traded companies from most sectors in the global economy, the major exception being financial services.

Marketing 97

Marketing Marketing Economy Government 97

Carson Wealth

DECEMBER 4, 2023

The Door Is Open for Fed Cuts All year we believed the Federal Reserve was unlikely to cut rates in 2023, and we positioned our portfolios accordingly — overweighting cash over longer-term bonds. A diversified portfolio does not assure a profit or protect against loss in a declining market. appeared first on Carson Wealth.

Marketing 96

Marketing Marketing Economy Compliance 96

Carson Wealth

NOVEMBER 27, 2023

A diversified portfolio does not assure a profit or protect against loss in a declining market. Compliance Case # 01997363_112723_C The post Market Commentary: Reasons To Be Thankful appeared first on Carson Wealth.

Marketing 96

Marketing Marketing Manufacturing Retail 96

Trade Brains

NOVEMBER 15, 2023

The company has had instances of non-compliance with covenants under its financing agreements in the past (including with the Asian Development Bank in relation to the maintenance of the GNPA level. Such non-compliance in the future can adversely affect the company’s reputation, cash flows and results of operations.

Government 59

Government Compliance Commission Banking 59

Carson Wealth

MARCH 4, 2024

A diversified portfolio does not assure a profit or protect against loss in a declining market. Compliance Case # 02140331_030424_C The post Market Commentary: Bulls Smile at January and February Market Gains appeared first on Carson Wealth.

Marketing 90

Marketing Marketing Economy Compliance 90

Brown Advisory

AUGUST 14, 2023

Factor risk is best described as any exposure that can explain the portfolio returns other than the individual investments, such as a “theme” or a sector. In this example, the stock picking hardly matters anymore – the portfolio is predominantly a sector bet and hence has a large factor risk. Numbers may not total due to rounding.

Investing 52

Investing Investments Portfolio Accounting 52