Truemind Capital

MARCH 6, 2024

Nearly a decade thereafter of changes in regulations, challenges still prevail on the awareness of the benefits of hiring an RIA, limiting the growth of the profession. But what led Sebi to introduce the regulations for investment advisory? Wealth management is a noble career path.

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Commission Investing Investments Compliance 52

Nerd's Eye View

JUNE 7, 2023

In this guest post, Chris Stanley, investment management attorney and Founding Principal of Beach Street Legal LLC, breaks down the key details of what’s included on Form U4, common missteps that may trip up IARs in their filings, and best practices for preparing and filing Form U4 with state and Federal regulators.

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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.

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Risk Management Financial Services Management Compliance 105

Inside Information

APRIL 26, 2024

The Financial Services Institute would tell regulators that they would be ‘forced’ to give up their smaller accounts if they were regulated as fiduciaries. They also argue, over and over again, that regulation would reduce ‘choice’ in the marketplace. (In We hear about ‘professionally-managed’ firms. Examples abound.

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Fee Only Professional Services Clients Compliance 40

International College of Financial Planning

JANUARY 31, 2024

Keeping Pace with Industry Evolution: The finance sector is characterized by its rapid evolution, with frequent updates in regulations, technologies, and methodologies. Professional Development Courses: These courses are customized to update or expand your knowledge, focusing on the latest trends and practices in the finance sector.

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Certification Education Financial Planning Wealth Management 52

Indigo Marketing Agency

AUGUST 2, 2021

In this exclusive webinar, I team up with expert guest Leila Shaver of My RIA Lawyer to teach you best practices on how to use the new testimonial rule to market your RIA. Leila has 10+ years of experience providing legal and compliance guidance to the financial services industry. 7 general violations to avoid. Leila Shaver.

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Compliance Marketing Marketing Financial Services 52

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.

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Wealth Management Management Risk Management Ethics 52

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.

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Investment Advisor Investing Investments Certification 52

Good Financial Cents

DECEMBER 14, 2022

After all, people will always need financial services, whether investing their money , taking out loans, or managing their taxes. The CFO role is multi-faceted and includes everything from financial planning and analysis to business budgeting, financial decision-making, and risk management. Financial Manager.

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Sara Grillo

OCTOBER 31, 2022

These filings are part of public record, and they are a gift of transparency from the regulators to the consumer. Any financial advisor who is registered as an advisor with a regulator has to fill out this form for initial approval by either a state or a Federal (the United States Securities and Exchange Commission) regulator.

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Financial Advisor Commission Clients Compliance 110

Diamond Consultants

AUGUST 9, 2022

The notion of taking on the task of managing compliance, technology, HR, and finance is often what stops advisors from going independent. Plus, these platforms don’t just provide support at launch; they also offer ongoing operational, compliance, marketing, and practice management support to optimize the business for growth.

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Compliance Recruitment Clients Retirement 59

Sara Grillo

JANUARY 9, 2023

As the move to transparency in financial planning takes hold, regulations are changing in Colorado and other states. What are the changes in Colorado investment advisor regulations regarding financial planning? Financial planning changes on the minds of state regulators. Colorado financial planning regulations are in reform.

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Carson Wealth

JULY 12, 2022

In this blog, we’ll break down industry jargon, share what various credentials indicate and explain why the financial services industry is so regulated. . The first step in the competency stairway is regulatory compliance. . A DBA is trained in research and has a deep knowledge of business entities and practices. .

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Financial Advising Financial Planning Ethics Financial Services 98

International College of Financial Planning

MAY 30, 2023

As a finance student, understanding and practicing ethical behavior is crucial for building a responsible and reputable career. Some popular finance careers include financial planning, investment banking, corporate finance, and risk management. Impact of Ethics on Finance and the Economy. It is a crucial part of the curriculum.

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Ethics Compliance Education Clients 40

Brown Advisory

APRIL 22, 2021

Corporate Engagement Spotlight: Ethical AI Practices ajackson Thu, 04/22/2021 - 11:37 Right now, as you read this, there are computers and network servers all over the world pondering one topic: you. We also engage with company management teams to encourage best practices for mitigating risks, and to monitor implementation of those practices.

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Ethics Compliance Government Clients 52

Brown Advisory

APRIL 22, 2021

Corporate Engagement Spotlight: Ethical AI Practices. As sustainable investors, we engage current and potential portfolio companies in discussions about these risks, to help ensure that they are managing and mitigating them in a comprehensive manner. Thu, 04/22/2021 - 11:37. Artificial Intelligence: Definitions.

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Ethics Compliance Government Clients 52

Sara Grillo

OCTOBER 21, 2022

In this blog, I interview paraplanning professionals to get their take on what the role is, what it pays, and what it potential is for someone who wants to get a job as a financial paraplanner, possibly as a stepping stone to other wealth management jobs. For those of you who are new to my blog/podcast, my name is Sara. Was this helpful?

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Insurance Fee Only Financial Planner Financial Advisor 98

SEI

SEPTEMBER 21, 2022

Domain 1: Cyber risk management and oversight. Domain 4: External dependency management. Domain 5: Cyber incident management and resilience. Auditors increasingly request institutions to complete the assessment to demonstrate compliance, making CAT widely used across financial services. Domain 3: Cybersecurity controls.

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Financial Services Compliance Risk Management Clients 52

Brown Advisory

DECEMBER 5, 2023

Yet a whole slew of relevant environmental, social, and governance-related information has been panned by political agendas that are far removed from the purview of investment managers. All of these potential outcomes of a company’s ability to manage its environmental, social, and governance issues should be of interest to investors.

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Fiduciary Duty Government Clients Investing 52

Brown Advisory

DECEMBER 2, 2015

In advising clients over the years, we have seen the value of helping families buy into the longterm orientation essential to successful investing and portfolio management through all market conditions. With those benefits used up, we are always looking for new and sometimes creative ways to manage tax liabilities.

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Taxes Clients Estate Planning Compliance 52

Inside Information

OCTOBER 30, 2021

Institute members are planners and planning firms who pledge to adhere to ten practices listed on the organization’s website, who, after attesting, are put on a registry of true fiduciary advisors. But this time, he seemed much more optimistic. . Rostad doesn’t believe investors are too stupid to understand the difference.

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CFP Commission Investing Investments 40

Brown Advisory

JANUARY 4, 2016

By way of example, Black Rock, Hartford Insurance and Fidelity Management, among others, have participated in recent private financing rounds for Uber. Presumably, the company’s management and investment bankers decided to leave some money on the table so that early buyers in the public market could make a profit. Participation.

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Investing Investments Valuation Numbers 52

Trade Brains

MARCH 30, 2023

But the weak regulations in place and multiple loopholes led to the rise of market operators like Manu Manek and Harshad Mehta leading to multiple scams. The Indian government saw the desperate need for a strong market regulator in place to reduce these malpractices and protect the interests of investors before it was too late.

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Financial Market Marketing Marketing Government 52

The Big Picture

SEPTEMBER 19, 2022

BARRY RITHOLTZ, HOST, MASTERS IN BUSINESS: This week on the podcast, what can I say, I have yet another extra special guest, Albert Wenger, managing partner at Union Square Ventures. ALBERT WENGER, MANAGING DIRECTOR, UNION SQUARE VENTURES: Well, I fell in love with computers very early on when I was a young teenager. Why is that?

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Indigo Marketing Agency

FEBRUARY 24, 2024

Reputation management: Digital agencies for financial advisors highlight your team’s qualifications by showcasing your prior success with clients—and why you’re the ideal go-to advisor for prospects. Contact us today to schedule a free consultation and unlock the full potential of your financial advisory practice.

Financial Advisor 52

Financial Advisor Advertising Compliance Media 52

Sara Grillo

JUNE 12, 2023

Insurance regulation has been well-intended but it’s not enough. The Life Insurance Models Regulation was an attempt to normalize the way insurance companies calculate premiums and cash values. sigh) Is regulation really the answer? Life Insurance Illustrations Model Regulation. 2017, Nov 15). The Impact of AG49.

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Insurance Clients Financial Advisor Math 59

The Big Picture

NOVEMBER 14, 2023

Eventually leading her to a point where she’s managing quants, running about a hundred billion dollars in assets. Really a fascinating background, and it just goes to show you how broad and flexible the world of finance is, that there are so many different ways you can find yourself in a senior management position in, in this industry.

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Math Management Insurance Assets 130

Indigo Marketing Agency

NOVEMBER 20, 2023

Opt-in Page Design Best Practices Optimizing opt-in pages through proper design techniques is a non-negotiable. Adhering to these best practices ensures a user-friendly and visually appealing experience: Mobile Responsiveness Verify accessibility and functionality on all devices, especially mobile phones and tablets.

Financial Advisor 52

Financial Advisor Engineering Advertising Compliance 52

Sara Grillo

JUNE 2, 2022

Factors included in the rankings: assets under management, revenue produced for the firm, regulatory record, quality of practice, and philanthropic work. They say they based the rankings on: Assets under management (AUM) Revenue produced for the firm Regulatory record Quality of practice Philanthropic work. ” Huh?

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

The Big Picture

JANUARY 24, 2023

STEVEN KLINSKY, FOUNDER, CEO AND MANAGING DIRECTOR, NEW MOUNTAIN CAPITAL: I come from the Detroit area of Michigan as a public school kid, went to University of Michigan and studied both economics and philosophy. I used to go out to Kleiner Perkins and have a regulation with them. What made you pursue that? KLINSKY: Right.

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Investing Investments Numbers Banking 259

Risk Management Guru

AUGUST 12, 2020

Everything from elections and politics to discordant weather, ever-updating regulations, poor economic events, and the health of the labor market can cause a disruption that trickles (or flows) directly to you. To encourage functional conflict while remaining productive : Keep the discussions manageable in number and type.

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Compliance Insurance Coverage Risk Management Communication 52

Tucker Advisors

AUGUST 9, 2021

While this update has not enforced any further regulation on the financial industry, many believe that day is coming. We recently interviewed Lloyd Domingos, Senior Director of Operations for Tucker Asset Management, about the current regulatory landscape and what he sees unfolding as we move forward. The client?

Financial Advisor 52

Financial Advisor License Clients Insurance 52

The Big Picture

MAY 23, 2023

This is a fascinating conversation about business growth and leadership and management and how to run a team. And now we, you know, we’re just shy of $145 billion of assets on the management across the entire credit curve. RITHOLTZ: So, we’re going to spend a little more time delving deep into Man Group’s practice. GREW: Sure.

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Sara Grillo

MAY 8, 2023

A few months ago I posted to LinkedIn something like, “How come IUL is just as complex as a derivative with floors, caps, call options, and participation rates, yet it’s not regulated by FINRA”. These meetups are free and the goal is to learn from each other about how to grow and manage a transparent practice for the benefit of clients.

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Insurance Clients Financial Advisor Accounting 59

Brown Advisory

SEPTEMBER 3, 2015

This empowers an independent trustee to manage the trust assets and make decisions regarding distributions to descendant’s. A descendant can own an interest in an FLP but, as with a discretionary trust, a single party can manage FLP funds and make decisions regarding distributions from the partnership to family members. Rude Awakening.

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Estate Planning Assets Distribution Compliance 52

Sara Grillo

SEPTEMBER 26, 2022

We’ll discuss these questions: The CFP Board has specifically stated that it wants the CFP® mark to be a requirement for anyone who practices financial planning. The debaters are: Robert Wright, CFP®, a financial consultant with Advocacy Wealth Management. What is your opinion? Robert will be on the “for” team. CFP Board debate.

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CFP Financial Advisor Financial Planner Ethics 59

Sara Grillo

SEPTEMBER 12, 2022

The debaters include: Robert Wright, CFP®, a financial consultant with Advocacy Wealth Management. This would make the CFP Board the de facto regulator for the profession.] The CFP Board has specifically stated that it wants the CFP® mark to be a requirement for anyone who practices financial planning.

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CFP Financial Planner Ethics Financial Planning 80