2003 and Compliance - Financial Advisor Source

Don't get an "F" on FBAR

Brown Advisory

JANUARY 20, 2023

We work closely with our clients and their outside professional advisors to identify when FBAR filings are required and to help facilitate compliance. FBAR compliance was enforced by the Treasury Department’s Financial Crimes Enforcement Network bureau, or FinCEN until 2003, when enforcement was delegated to the IRS.

Accounting

Accounting Compliance Taxes Banking

Market Commentary: The Summer Rally Continues Amid Strong Job Gains

Carson Wealth

JUNE 10, 2024

Even more impressive is the past four times this happened (1997, 2003, 2009, and 2020) all saw at least double-digit returns. Compliance Case # 02272734_061024_C The post Market Commentary: The Summer Rally Continues Amid Strong Job Gains appeared first on Carson Wealth. MAY”be we have a positive signal from the strong May.

Marketing

Marketing Marketing Economy Numbers

Don't get an "F" on FBAR

Brown Advisory

JANUARY 20, 2023

We work closely with our clients and their outside professional advisors to identify when FBAR filings are required and to help facilitate compliance. FBAR compliance was enforced by the Treasury Department’s Financial Crimes Enforcement Network bureau, or FinCEN until 2003, when enforcement was delegated to the IRS.

Accounting

Accounting Compliance Taxes Banking

Webinars

Book of Secrets on the Month-End Close

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Are Robots Replacing You? Keeping Humans in the Loop in Automated Environments

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Market Commentary: Stocks Are Quite Resilient

Carson Wealth

MARCH 27, 2023

Think back to March 2003, March 2009, and March 2020. In 2003, the war in Iraq started after a three-year bear market; the global financial crisis was underway in 2009 and stocks dropped by half; and in 2020 the world shut down due to COVID-19. Why is this a good thing?

Marketing

Marketing Marketing Banking Economics

Eric Brotman on Building a Collaborative Culture, Targeting Business Development Channels, Sustaining Scale, and Learning to Grow by Letting Go

Steve Sanduski

OCTOBER 23, 2024

Eric began his financial planning practice in Baltimore in 1994, and founded Brotman Financial Group in 2003, which later became BFG Financial Advisors. Why AI can help with rote tasks like note-taking and compliance, but not with complex human-to-human financial advice.

Financial Planning

Financial Planning Clients Retirement Planning

Market Commentary: The Latest on the Banking Crisis

Carson Wealth

MARCH 20, 2023

March hit major lows in 2003, 2009, and 2020, amidst negative headlines and sentiment. Compliance Case # 01697852 The post Market Commentary: The Latest on the Banking Crisis appeared first on Carson Wealth. March is well-known for major market lows and volatility.

Banking

Banking Marketing Marketing Startup

Transcript: Luis Berruga, Global X ETFs

The Big Picture

DECEMBER 6, 2022

And I always use the exact same example, how will you invest in Google in 1998, or in Facebook in 2003? But when you factor in, you know, legal costs, compliance, portfolio management, trading, there is a lot that goes into launching an ETF. BERRUGA: This is 2003. BERRUGA: Yeah. And right now, we have close to 100 ETFs.

Clients

Clients Investing Investments Management

Market Commentary: Down for Two Consecutive Weeks

Carson Wealth

AUGUST 14, 2023

In addition, credit card debt as a percentage of disposable income is 21%, which is still lower than it was at the end of 2019, when it was 22%, and well beneath the 2003-2019 average of 26%. Compliance Case # 01867067_081423_C The post Market Commentary: Down for Two Consecutive Weeks appeared first on Carson Wealth.

Marketing

Marketing Marketing Food Compliance

Worst Performing Stocks in India For 5 Years!

Trade Brains

MAY 6, 2023

Yes Bank was founded in 2003 by Rana Kapoor and Ashok Kapur. The majority of the issues related to Yes Bank were related to corporate governance and compliance. Worst Performing Stocks in India – Yes Bank The story of Yes Bank is the perfect example of a success story gone wrong in the banking industry.

Banking

Banking License Government Investing

Market Commentary: Tariffs Have Increased Market Uncertainty, but Job Growth Remains Solid

Carson Wealth

MARCH 10, 2025

to 80.5%, but thats still higher than anything we saw over the last two expansion cycles (2003 2007 and 2009 2019). Compliance Case # 7722155.1_031025_C The post Market Commentary: Tariffs Have Increased Market Uncertainty, but Job Growth Remains Solid appeared first on Carson Wealth.

Marketing

Marketing Marketing Economy Government

Market Commentary: Stocks Bounced in the Face of Grim News

Carson Wealth

OCTOBER 16, 2023

Markets saw strong gains despite the Iraq invasion in 2003 and Israel’s Six-Day War in 1967. Compliance Case # 01937035_101623_C The post Market Commentary: Stocks Bounced in the Face of Grim News appeared first on Carson Wealth. But that has been the exception rather than the rule.

Marketing

Marketing Marketing Economy Compliance

What is Passive Income?

Good Financial Cents

AUGUST 12, 2023

As emphasized by many financial experts, including those mentioned in “ The Intelligent Investor ” by Benjamin Graham (2003), careful planning and consistent monitoring of your passive income sources can lead to greater financial freedom and control over your time. You can read more about here about how passive income is taxed.

Risk Tolerance

Risk Tolerance Taxes Compliance Retirement

Transcript: Julian Salisbury, GS

The Big Picture

MAY 9, 2023

And then in about 2003, we set up a group called the European Special Situations Group, which was a multi-asset class proprietary investing business. RITHOLTZ: They just became distressed. SALISBURY: The high yield bonds quickly went to zero and then you’re buying the bank loans at discounted prices. And that was fairly evolutionary.

Assets

Assets Clients Investing Investments

Transcript: Mike Green, Simplify Asset Management

The Big Picture

AUGUST 20, 2024

And finally, I think it was 2003 or four, I ran into Mitch on the street on, actually on 57th, just around the corner from where we are right now. So any compliance people listening, I’m just spitballing here. She was based out in Los Angeles. That’s Barry saying it. That’s not Mike.

Assets

Assets Management Portfolio Marketing

Transcript: Mike Wilson, Morgan Stanley

The Big Picture

SEPTEMBER 10, 2024

Well, I mean, so I, I find that, you know, this, and this goes back to, you know, 2003 with Regulation fd, that’s when everything kind of changed. You have to get compliance. And they’re like, well, yeah, it could be more, but like, that’s what the Fed’s telling us. Well, it changed in two ways.

Valuation

Valuation Clients Investing Investments

Market Commentary: Seeing the Big Picture – Stocks Still Making New Highs and Household Balance Sheets Are Healthy

Carson Wealth

FEBRUARY 24, 2025

However, its lower than the minimum we saw during the 2003-2007 expansion cycle. Compliance Case # 7667418.1_022425_C The post Market Commentary: Seeing the Big Picture – Stocks Still Making New Highs and Household Balance Sheets Are Healthy appeared first on Carson Wealth.

Marketing

Marketing Marketing Economy Planning

Should you cancel your CFP designation?

Sara Grillo

SEPTEMBER 12, 2022

In 2003, there was a well-known financial planner and radio personality named Bradford Bleidt , JR continues, who ran at $30MM Ponzi Scheme. 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.

CFP

CFP Financial Planner Ethics Financial Planning

Market Commentary: Why We Don’t Expect a June Swoon

Carson Wealth

JUNE 3, 2024

In fact, the past three times May gained at least 5% the rest of year added 14.4% (1997), 15.4% (2003), and 21.3% (2009). Compliance Case # 02262339_060324_C The post Market Commentary: Why We Don’t Expect a June Swoon appeared first on Carson Wealth. Imagine how mad the bears would be if that happened again this year.

Marketing

Marketing Marketing Financial Services Distribution

Financial Advisor Source

Don't get an "F" on FBAR

Market Commentary: The Summer Rally Continues Amid Strong Job Gains

Webinars

Trending Sources

Don't get an "F" on FBAR

Webinars

Market Commentary: Stocks Are Quite Resilient

Eric Brotman on Building a Collaborative Culture, Targeting Business Development Channels, Sustaining Scale, and Learning to Grow by Letting Go

Market Commentary: The Latest on the Banking Crisis

Transcript: Luis Berruga, Global X ETFs

Market Commentary: Down for Two Consecutive Weeks

Worst Performing Stocks in India For 5 Years!

Market Commentary: Tariffs Have Increased Market Uncertainty, but Job Growth Remains Solid

Market Commentary: Stocks Bounced in the Face of Grim News

What is Passive Income?

Transcript: Julian Salisbury, GS

Transcript: Mike Green, Simplify Asset Management

Transcript: Mike Wilson, Morgan Stanley

Market Commentary: Seeing the Big Picture – Stocks Still Making New Highs and Household Balance Sheets Are Healthy

Should you cancel your CFP designation?

Market Commentary: Why We Don’t Expect a June Swoon

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