Truemind Capital

MARCH 6, 2024

Sebi introduced Registered Investment Adviser(RIA) as a category of intermediaries in 2013 to safeguard the interests of investors. Despite the introduction of direct plans of MFs and the RIA category way back in 2013, there needs to be more awareness about this even today.

Commission 52

Commission Investing Investments Compliance 52

Good Financial Cents

DECEMBER 14, 2022

Chief Compliance Officer. A chief compliance officer ensures financial institutions adhere to all applicable laws and regulations. To keep a business running smoothly and help avoid costly non-compliance fees, CCOs monitor company policy and compliance. Average salary: $114,832 per year. Insurance Advisor.

Budgeting 88

Budgeting Compliance Accounting Insurance 88

Sara Grillo

MARCH 13, 2023

Nate is Co-Founder of The ETF Institute, the first and only independent organization providing ETF industry professionals and financial advisors with certification, education, and training pertaining to ETFs. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

Financial Advisor 59

Financial Advisor Assets Management License 59

The Big Picture

JULY 29, 2024

00:10:47 [Speaker Changed] So in the additive services that Orion offers now are financial planning, compliance, CRM services, risk and analysis portfolio construction and advisor portal and investor portal. We were fortunate enough to launch in 2013, which was a great, you know, start of a new bull market and a great decade ahead of it.

Clients 147

Clients Portfolio Financial Advisor Investing 147

Sara Grillo

SEPTEMBER 12, 2022

A $100 increase in the CFP annual certification fee spurred an industry outcry, leading many to question whether the designation is worth it or not. According to Wright, it’s more than having to pass a test – there are CFP® certification requirements pertaining to education, quizzes, modules, etc. 2013, March). 2022, August 1).

CFP 80

CFP Financial Planner Ethics Financial Planning 80