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Adviser links: humble projections

Abnormal Returns

investmentnews.com) Compliance There's no winning the cybersecurity war, just stalemate. financial-planning.com) Advisers don't like spending time on administrative and compliance issues. investmentnews.com) Recruiting Why aren't more women becoming advisers?

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Weekend Reading For Financial Planners (June 24-25)

Nerd's Eye View

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week’s edition kicks off with the news that amid a flurry of SEC-proposed rules for investment advisers, the Investment Adviser Association this week called on the regulator to assess whether the compliance burden these regulations would put on advisers outweighs (..)

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#FA Success Ep 343: The Evolution Of Super-OSJ Platforms To Support Independent Advisors, With Rita Robbins

Nerd's Eye View

What's unique about Rita, though, is how as the founder of one of the first woman-owned Super-OSJs nearly 30 years ago, she has witnessed first-hand the evolution of the Super-OSJ model from providing local oversight of brokers selling proprietary products, into back-office platforms that provide an increasingly open-architecture product shelf coupled (..)

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An Advisor’s Guide to Termination: A Proactive Approach to Protecting Your Life’s Work

Diamond Consultants

Knowledge is power—particularly in a world where compliance scrutiny has ramped up, and firms prioritize risk reduction over revenue creation. Internal investigations are exactly what they sound like, a review undertaken by your firm’s legal and compliance team to gather the facts surrounding a potential infraction. What are they?

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The HR Compliance Playbook: How to Improve Speed-to-Hire

Build and refine your global compliance program to boost speed-to-hire and minimize international growth risks. Every global growth to-do list should begin with compliance. How a strong compliance program can boost recruiting efforts. How to accelerate your global speed-to-hire.

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The Independent Alpha: Making the Breakaway Math Add Up

Diamond Consultants

However, these advisors are simultaneously forgoing massive recruitment bonuses from competing firms and a less labor-intensive transition process. But without growth, it will take many years to offset the “bird in the hand” of a lucrative up-front and back-ended recruitment package.

Math 52
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Of Myths and Moving 2023

Diamond Consultants

We believe verily that everyone should have a Plan B, whether they have any thoughts of moving or not—especially in a world where heightened compliance scrutiny and zero-tolerance risk cultures abound. Recruiters have been saying for years that deals are at an all-time high, so I’ll never miss the boat.”

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Compliance Throughout the Remote Employee Lifecycle

Global compliance: A Global Growth Roadblock. However, companies must be prepared to maintain compliance with in-country legislation. Compliance is a constantly evolving challenge, from the recruiting stage all the way to employee offboarding. The best strategies to maintain compliance during global growth.