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A Guide To Conducting And Documenting An Annual Compliance Review Under New SEC Amendment

Nerd's Eye View

However, this "Compliance Rule" did not technically require that the annual compliance review of policies and procedures be conducted in writing, even though advisers were required to maintain records if they did document such reviews in writing! the SEC's new marketing rule). Read More.

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#FA Success Ep 370: Leveraging Google Reviews To Generate Inbound Local Prospects, With Tim Goodwin

Nerd's Eye View

Tim is the founder of Goodwin Investment Advisory, an RIA based in Woodstock, Georgia, that oversees $275M in assets under management for 370 client households. return in new onboarded client revenue for every $1 spent in marketing.

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Peer-Reviewed Theory and Expected Stock Returns 

Alpha Architect

The risk-based explanation provided by a peer-based review is a necessary ingredient for considering investment, but it is not a sufficient ingredient. Peer-Reviewed Theory and Expected Stock Returns was originally published at Alpha Architect. Please read the Alpha Architect disclosures at your convenience.

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SRM Contractors IPO Review 2024 – GMP, Financials And More

Trade Brains

SRM Contractors IPO Review: SRM Contractors is coming up with its IPO issue of Rs. This article will analyze the GMP, Financials, strengths and weaknesses of the SRM Contractors IPO Review 2024. SRM Contractors IPO Review – Financials SRM Contractors reported a revenue of Rs. Cr which will open on 26th March 2024.

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Review of Reviews: The New Undue Influence

Wealth Management

David Horton, the Martin Luther King, Jr. professor of law at the University of California, Davis, School of Law in Davis, Calif. and Reid Kress Weisbord, distinguished professor of law at Rutgers Law School in Newark, N.J. and the Judge Norma L. Shapiro Scholar.

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Systeme.io Review

Good Financial Cents

User Reviews and Testimonials User reviews and testimonials play a crucial role in understanding the real-world effectiveness of Systeme.io. Review appeared first on Good Financial Cents®. Comparative Analysis with Other Tools To provide a broader perspective, let’s compare Systeme.io The post Systeme.io

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Kitces Podcast Sparks Debate on Google Reviews

Wealth Management

Some compliance experts took issue with a recent Michael Kitces podcast that appeared to endorse a marketing strategy that includes soliciting and reposting clients’ Google reviews.