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

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. A diversified portfolio does not assure a profit or protect against loss in a declining market.

Marketing 96

Marketing Marketing Economy Numbers 96

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. My blogging evolved a lot over the last 12 months into a lot more of what I would call portfolio theory with the capital efficiency and return stacking stuff. Thankfully a few weeks later they did.

Insurance 98

Insurance Compliance Engineering Planning 98

Carson Wealth

NOVEMBER 13, 2023

annual pace between 1996 and 2004. A diversified portfolio does not assure a profit or protect against loss in a declining market. Compliance Case # 01979041_111323_C The post Market Commentary: Fundamentals May Be Aligned for Solid Stock Gains in 2024 appeared first on Carson Wealth. Wage growth ran at a 4.5%

Marketing 96

Marketing Marketing Economy Startup 96

Brown Advisory

DECEMBER 5, 2023

An unassuming shorthand (from 20 years ago) A 2004 report published by the United Nations is often given credit for popularizing “ESG” as a shorthand for the myriad issues in environmental, social, and governance categories. Here is an attempt to invoke fundamental investing basics to clarify exactly what we aspire to deliver for our clients.

Fiduciary Duty 52

Fiduciary Duty Government Clients Investing 52

Trade Brains

MAY 6, 2023

It began its operation in 2004. The majority of the issues related to Yes Bank were related to corporate governance and compliance. Yes Bank was founded in 2003 by Rana Kapoor and Ashok Kapur. The bank network spanned 1120 locations across all 29 states in India. Where Did It All Go Wrong for Yes Bank? Happy Investing!

Banking 52

Banking License Government Investing 52

The Big Picture

JANUARY 14, 2025

Maybe we should do this out from under the compliance regulations of a broker dealer? You were a portfolio manager, researcher head of trading, and apparently tech geek putting machines together. How 00:09:09 [Speaker Changed] Long were you guys doing that before you realized, hey, this is really gonna be a successful model?

Management 147

Management Investing Investments Assets 147