Nerd's Eye View

OCTOBER 11, 2023

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).

Compliance 246

Compliance Financial Planning Planning Investing 246

Nerd's Eye View

JUNE 21, 2023

In addition to collecting the required reports, the firm’s Chief Compliance Officer (CCO) also has certain review requirements.

Ethics 244

Ethics Fiduciary Duty Compliance Clients 244

Prosperity Coaching

AUGUST 23, 2022

Many industries have moved their promotions online to take advantage of inbound marketing opportunities, yet financial advisors are slow to follow, often due to compliance regulations. Since 2004, I have been a Financial Advisor […].

Financial Advisor 89

Financial Advisor Compliance Marketing Marketing 89

Carson Wealth

JANUARY 8, 2024

2023 Stock Gains Suggest a Solid (But Not Spectacular) 2024 The S&P 500 finally fell last week after nine consecutive weeks of gains, the longest weekly winning streak since 2004. Compliance Case # 02059807_010824_C The post Market Commentary: Slow Start For Stocks Despite Solid Job Gains appeared first on Carson Wealth.

Marketing 96

Marketing Marketing Economy Numbers 96

Steve Sanduski

JULY 16, 2024

In a Nutshell: Amy Koenig was the first coach I hired back in 2004 when I was running Peak Advisor Alliance-now Carson Coaching. And even from a compliance purpose, having systems in place allow you to avoid things like fines. Guest: Amy Koenig , a financial advisor coach and the Chief of Operations at ROL Advisor.

Clients 59

Clients Financial Advisor Compliance Financial Planning 59

Random Roger's Retirement Planning

APRIL 8, 2023

One of the partners of the firm where I have been since 2004 was found to have done illegal trading and he was immediately terminated. Thankfully a few weeks later they did. The final challenge since last April happened with my day job. The other partner also has a serious problem that could be described as collateral damage.

Insurance 98

Insurance Compliance Engineering Planning 98

Carson Wealth

NOVEMBER 13, 2023

annual pace between 1996 and 2004. Compliance Case # 01979041_111323_C The post Market Commentary: Fundamentals May Be Aligned for Solid Stock Gains in 2024 appeared first on Carson Wealth. Fast forward to 1996 and productivity began to advance. Wage growth ran at a 4.5% This was because productivity climbed to a 3.1%

Marketing 96

Marketing Marketing Economy Startup 96