Investment Writing

NOVEMBER 20, 2024

Note: This post was originally published on October 18, 2013, on the MarketingProfs blog , but it remains relevant today. Show them you can work with the compliance department Some bad writing results from fear of the firm’s compliance department. Next, consider ways to satisfy the compliance department’s concerns.

Compliance 52

Compliance Communication Assets Investing 52

Carson Wealth

OCTOBER 7, 2024

Hiring also seems to have pulled back a lot, with the Job Openings and Labor Turnover Survey (JOLTS) telling us that the hiring rate (hires as a percent of the labor force) has pulled back to 3.3% — a rate we last saw in 2013 (excluding the peak pandemic months in 2020).

Marketing 96

Marketing Marketing Economy Economics 96

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. Some recent, high-profiles examples include: In 2013, the billionaire creator of Beanie Babies pled guilty to tax evasion and faced FBAR fines of roughly $53 million.

Accounting 52

Accounting Compliance Taxes Banking 52

Brown Advisory

JUNE 14, 2017

Investors who never contemplated the concept of “municipal bankruptcy” previously would later be forced to add the term into their vernacular, spurred by bankruptcies of Jefferson County, Alabama in 2011; Stockton and San Bernardino, California in 2012; and Detroit in 2013. Investors cannot aff ord complacency. The results were discouraging.

Compliance 52

Compliance Retail Clients Management 52

Brown Advisory

JUNE 14, 2017

Investors who never contemplated the concept of “municipal bankruptcy” previously would later be forced to add the term into their vernacular, spurred by bankruptcies of Jefferson County, Alabama in 2011; Stockton and San Bernardino, California in 2012; and Detroit in 2013. Investors cannot aff ord complacency. The results were discouraging.

Compliance 52

Compliance Retail Clients Management 52

Sara Grillo

DECEMBER 22, 2023

9 Sept 2013). Also, 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. The goal is to educate people so they can steer clear of the traps the financial services industry sets for them. Sara G Sources Rostad, Knut. (9 MarketWatch.

Financial Advisor 52

Financial Advisor Fiduciary Duty Compliance Financial Advice 52

Carson Wealth

MAY 1, 2023

May-October has been up nearly 5% on average since 2013, far higher than its average 1.7% Compliance Case # 01749933 The post Market Commentary: Market Rally to Close April, But Be Wary of “Sell in May” appeared first on Carson Wealth. But that isn’t always the case. return since 1950. economy expanded by only 1.1%

Marketing 52

Marketing Marketing Economy Numbers 52

Sara Grillo

MARCH 13, 2023

Nate is regularly quoted in various national publications including Bloomberg, Business Insider, The Wall Street Journal, Financial Times, and CNBC, has appeared on Bloomberg Radio & TV, and was named one of Ingram’s 2013 “40 Under Forty” in Kansas City. For advise on such matters, contact a legal or compliance advisor.

Financial Advisor 59

Financial Advisor Assets Management License 59

Brown Advisory

JANUARY 4, 2016

In 2013, she applied it to the small number of privately held companies with a market value over $1 billion to denote their rarity. Uber, arguably the best known, first became a unicorn in mid-2013, about the time Ms. Most have achieved their unicorn status rather recently, and in fact nearly all did so in just the past five years.

Investing 52

Investing Investments Numbers Valuation 52

The Big Picture

MAY 9, 2023

SALISBURY: So I led the European Special Situations Group from 2008 to 2013. SALISBURY: So that actually helped in a way that everybody was dealing with the same broad-based crisis as opposed to when it’s just you or just your firm or just your fund, where in some ways it can feel more stressful. There were a couple of reasons for that.

Assets 299

Assets Clients Investing Investments 299

The Better Letter

MARCH 16, 2023

In Monte Carlo, on August 18, 2013, a Roulette ball landed on black 26 times in a row – the longest such streak ever recorded, with odds against of 136,823,184 to one. Rumor had it that this was part of a quiet agreement between regulators and internal compliance officials, who were understandably concerned about what had gone on.

Math 95

Math Numbers Medicine Marketing 95

The Big Picture

DECEMBER 6, 2022

I did in 2013 the largest banking transaction that the market had seen since the financial crisis, it was a $2.4 But when you factor in, you know, legal costs, compliance, portfolio management, trading, there is a lot that goes into launching an ETF. billion deal. You’re suggesting that’s the money-loser for that company?

Clients 162

Clients Investing Investments Management 162

Brown Advisory

NOVEMBER 12, 2015

This is a significant increase over the rate for long-term gains rate of 15% for the highest bracket prior to 2013. Circular 230 Compliance Statement. In compliance with those regulations, we must inform you that: 1. This piece is intended solely for our clients and prospective clients and is for informational purposes only.

Planning 52

Planning Taxes Distribution Medical 52

Brown Advisory

JANUARY 1, 2023

Allegion was spun-out of Ingersoll Rand in 2013 and it’s thirty-two brands including Schlage in the U.S. We expect Moody’s Analytics with fast growing—typically subscription—products in compliance and ESG to become a larger value driver and increase the mix of recurring revenue. stand for superior security and quality.

Investing 52

Investing Investments Valuation Clients 52

Sara Grillo

MAY 8, 2023

Prior to joining MetLife in 2013, Bobby was a consultant to life insurers, distributors and high-end agents. Bobby was formerly Senior Vice President and Head of Life Insurance and Annuity Product Development and Pricing at Brighthouse Financial and Vice President of Life Product Development at MetLife.

Insurance 59

Insurance Clients Financial Advisor Accounting 59

The Big Picture

DECEMBER 14, 2022

RITHOLTZ: Are we going to get a red flag from a compliance, or is that an official statement we could use? So all the things that we’ve been doing during COVID, we started in 2013. We’ve had 16 percent net returns on all of the capital we’ve invested over 30 years. RITHOLTZ: 16 percent annually, net of fee?

Assets 162

Assets Investing Investments Portfolio 162

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

The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Compliance 162

Compliance Clients Wealth Management Management 162

Sara Grillo

SEPTEMBER 26, 2022

2013, March). Also, 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. City: Washington, DC. www.cfp.net. Code of Ethics and Standards of Conduct. 2022, August 1). CFP® Professional Demographics. Securities and Exchange Commission.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

MarketWatch

APRIL 23, 2023

Mary Erdoes, head of the bank’s asset & wealth management business and a close lieutenant of Chief Executive Jamie Dimon, made two visits to Epstein’s Upper East Side townhouse, in 2011 and 2013, when he was still one of the banks’ clients. The bank has said it closed his account in 2013. Erdoes declined to comment for the article.

Accounting 98

Accounting Banking Compliance Wealth Management 98

Carson Wealth

MARCH 24, 2025

At the same time, hiring is clearly weak, with the hire rate running close to 2013 levelsby no means terrible, but much lower than it was in 2018-2019 or even 2022-2024. Compliance Case # 7774026.1_032425_C The post Market Commentary: Markets Rally After Fed Meeting in Another Volatile Week appeared first on Carson Wealth.

Marketing 92

Marketing Marketing Economy Economics 92

Sara Grillo

SEPTEMBER 12, 2022

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. 2013, March). The opinions expressed herein do not necessarily represent the views of Sara Grillo or Grillo Investment Management, LLC. Just Say No’ to CFP Board’s New Standards.

CFP 80

CFP Financial Planner Ethics Financial Planning 80

The Big Picture

NOVEMBER 25, 2024

Corey Hoffstein : So throughout 2013, I was doing a lot of this research. And so in 2013, I’m staring down my largest client, all of a sudden it becomes obvious. You know, you run an RIA, the SEC just comes knocking every once in a while to say, Hey, just wanna make sure the compliance program’s all set up.

Portfolio 147

Portfolio Management Marketing Marketing 147

The Big Picture

MAY 16, 2023

Um, case anybody that says anything, non-compliant, compliance tracks that also the watch list is just sort of fun. So in 2013, just like you said, VCs are not perfect. RITHOLTZ: I have a behavioral finance list. I have a, I have everybody in my firm on a list. I see everything that everybody tweets. I have a car list. RITHOLTZ: Right.

Media 290

Media Investing Investments Valuation 290

Carson Wealth

DECEMBER 30, 2024

Im old enough to remember back in 2013 when everyone freaked out because the island of Cypress was having financial issues. Then you look back and the S&P 500 gained over 30% in 2013 and you wonder what in the world we were thinking! Im serious, it was a very big deal for about a week and had many investors on edge.

Marketing 64

Marketing Marketing Valuation Economy 64