Nerd's Eye View
NOVEMBER 30, 2022
And yet, despite the prominent role of taxes in financial planning, advisors are often prohibited by their compliance departments from making recommendations for a specific course of action on a certain tax strategy.
Wealth Management
JUNE 11, 2025
But Here’s the Rub A comprehensive discussion along the lines suggested in the article I posted will require a lot of work by the agent, including all the data gathering, consultation with advanced planning attorneys, coordination with other advisors, presentation preparation, etc. Number 8860726.
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Abnormal Returns
JULY 17, 2023
investmentnews.com) Six tips for more confident presentation skills. advisorperspectives.com) Think twice, compliance-wise, before jumping onto Threads. (riaintel.com) Even small fee increases can make a big difference to advisory firms. financial-planning.com) Social Security rules for divorced couples. investmentnews.com)
Nerd's Eye View
AUGUST 28, 2024
Alternatively, some advisors have instead opted to collect clients' login information so they can execute the trades in their clients' accounts themselves –presenting numerous data security and compliance issues for the advisor (and can lead to the advisor being considered to have custody over client assets).
Speaker: Abdi Ali, Sr. Lease Accounting Consultant
He will share real-world examples of errors, compliance issues, and risks that may be present within your spreadsheets. Join this insightful webinar with industry expert Abdi Ali, who will discuss the challenges that can arise from managing lease accounting with spreadsheets!
Nerd's Eye View
AUGUST 28, 2024
Alternatively, some advisors have instead opted to collect clients' login information so they can execute the trades in their clients' accounts themselves –presenting numerous data security and compliance issues for the advisor (and can lead to the advisor being considered to have custody over client assets).
Nerd's Eye View
JUNE 7, 2023
Which makes it all the more important for IARs to ensure Form U4 is up to date and that the way they are presenting themselves to current and potential clients in public – including content on their website, advertisements, and social media post – aligns with their (also publicly available) regulatory disclosures!
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