Brown Advisory

JUNE 14, 2017

2 The SEC’s Enforcement Division introduced the Municipal Continuing Disclosure Cooperative Initiative in early 2014 to encourage self-reporting of possible securities law violations, especially in situations when entities misrepresented their compliance with continuing disclosure obligations. The results were discouraging.

Compliance 52

Compliance Retail Clients Management 52

Brown Advisory

JUNE 14, 2017

The SEC’s Enforcement Division introduced the Municipal Continuing Disclosure Cooperative Initiative in early 2014 to encourage self-reporting of possible securities law violations, especially in situations when entities misrepresented their compliance with continuing disclosure obligations. The results were discouraging.

Compliance 52

Compliance Retail Clients Management 52

Brown Advisory

SEPTEMBER 12, 2016

Diving Deep: Achieving Outperformance By Using Environmental Research achen Mon, 09/12/2016 - 10:22 ARM Holdings rose to dominance among makers of smartphone microprocessors by focusing on energy efficiency rather than pure computational power and speed. Finally this helps the company’s reputation outside the U.S.,

Food 52

Food Executive Compensation Portfolio Management Valuation 52

Brown Advisory

SEPTEMBER 12, 2016

Mon, 09/12/2016 - 10:22. On July 18, 2016, Softbank announced plans to buy the company at a 43% premium to the prior day’s closing price. Diving Deep: Achieving Outperformance By Using Environmental Research. Finally this helps the company’s reputation outside the U.S., where environmental practices help win business.

Food 52

Food Executive Compensation Portfolio Management Valuation 52

Brown Advisory

SEPTEMBER 12, 2016

From our CEO: How We Help Clients Build Sustainable Portfolios achen Mon, 09/12/2016 - 08:16 Last year, we published our first special edition of The Advisory focused on sustainable investing. As I mentioned above, we have been busy over the past year, building out our capabilities so that we can be more effective on your behalf.

Portfolio 52

Portfolio Clients Investing Investments 52

Brown Advisory

SEPTEMBER 12, 2016

Mon, 09/12/2016 - 08:16. Finally, we seek to ensure the highest level of service, through compliance with your investment criteria, specialized reporting and regular discussions with you to ensure that we keep pace with any changes in your views and beliefs over time. From our CEO: How We Help Clients Build Sustainable Portfolios.

Portfolio 52

Portfolio Clients Investing Investments 52

Diamond Consultants

AUGUST 7, 2023

For example, following the 2016 “cross-selling scandal,” Wells Fargo advisors moved with near record velocity. Increasingly, however, the firm is taking a compliance-first approach that is making even simple business challenging to complete. What drives advisor movement?

Recruitment 52

Recruitment Compliance Budgeting Financial Advisor 52

Brown Advisory

APRIL 20, 2022

Yet you should be able to expect more from your investment advisor at audit time than just regulatory compliance and a checklist for your CFO on investment levels, lockup and liquidity. Basis of Paper In August 2016, the Financial Accounting Standards Board (“FASB”) issued Accounting Standards Update (“ASU”) No.

Investment Advisor 52

Investment Advisor Investments Investing Nonprofit 52

Carson Wealth

SEPTEMBER 9, 2024

2016 and 2020 both saw stock weakness ahead of contentious elections, only to see stocks soar at the end of the year once the election uncertainty was behind us. Compliance Case # 02400621_090924_C The post Market Commentary: Slow Start to Historically Worst Month of the Year appeared first on Carson Wealth.

Marketing 69

Marketing Marketing Economy Economics 69

Trade Brains

MAY 6, 2023

At its height spanning 14 years between 2002 and 2016, the company went on an acquisition spree. The majority of the issues related to Yes Bank were related to corporate governance and compliance. Yes Bank however under-reported its NPA by a huge margin from 2016-2018 in an attempt to mislead its investors.

Banking 52

Banking License Government Investments 52

Indigo Marketing Agency

JANUARY 25, 2022

First, your campaign about volatility is likely to get twice as many views and shares as your other campaigns, as we can see in this example from back in 2016. Be sure to get it approved by compliance before sending. Market volatility is a powerful marketing opportunity for two reasons. Get Your Free Customizable Template.

Communication 52

Communication Clients Marketing Marketing 52

Carson Wealth

JUNE 12, 2023

In fact, our LEI held close to the lows seen over the last decade, especially in 2011 and 2016, after which the economy and the stock market recovered. Compliance Case # 01795338 The post Market Commentary: A New Bull Market is Here appeared first on Carson Wealth.

Marketing 52

Marketing Marketing Economy Manufacturing 52

Brown Advisory

AUGUST 14, 2023

At the margin, the factors can be a tailwind as experienced in 2017 and 2018 or a headwind as seen in 2016 and 2022, but when we look at attribution over the past three years in the chart below it shows over 100% of the strategy’s alpha came from individual investment selection or stock-picking as the factors combined were a net negative drag.

Investments 52

Investments Investing Portfolio Accounting 52

Brown Advisory

JANUARY 17, 2024

WACC is the average rate a company expects to pay to finance its assets. **Return is for period May 1, 2015 through December 31, 2015 Brown Advisory Institutional claims compliance with the Global Investment Performance Standards (GIPS®) and has prepared and presented this report in compliance with the GIPS standards. Dollars.

Investments 52

Investments Investing Portfolio Compliance 52

Carson Wealth

AUGUST 28, 2023

If there is any impact, it will be in the financial markets via headline risk, similar to 2015-2016 when China devalued its currency. Compliance Case # 01883303_082823_C The post Market Commentary: Volatility Is the Toll We Pay appeared first on Carson Wealth. The difference is that the U.S. economy is now on firmer footing.

Marketing 52

Marketing Marketing Economy Economics 52

Brown Advisory

JANUARY 4, 2016

Mon, 01/04/2016 - 13:57. While these markets are still relatively undeveloped and inefficient—partly because of the need to meet compliance requirements—they do provide limited liquidity for sellers. Investment Perspectives | Unicorns: Beyond the Myth. A New Model.

Investments 52

Investments Investing Numbers Valuation 52

The Big Picture

FEBRUARY 28, 2023

And then in 2016, we were thinking a little bit more strategically about our business in the Americas, and I championed this project to open up a headquarters for the firm in Colorado and — RITHOLTZ: Away from Wall Street. And I helped to drive a lot of that in the Americas early on. RITHOLTZ: Really interesting.

Investments 147

Investments Clients Investing Assets 147

The Big Picture

AUGUST 15, 2023

Let me say what your compliance wouldn’t allow you to say. And I had written that first book about hedge funds, which led me- RITHOLTZ: In 2016, right? SEIDES: In 2016. And at the time, I was managing Protege Partners as a hedge fund of funds. We were short subprime mortgages with John Paulson. RITHOLTZ: Yeah.

Management 130

Management Investments Investing Government 130

Inside Information

OCTOBER 30, 2021

Past winners include Ron Rhoades, David Tittsworth, Skip Schweiss, Phyllis Borzi, Harold Evensky, Barbara Roper and, in 2016, the entire U.S. Every year, the Committee selects a worthy candidate to be given its “Fiduciary of the Year” award. Department of Labor.

CFP 40

CFP Commission Investments Investing 40

Brown Advisory

JANUARY 1, 2023

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. We funded this position by selling Otis’ peer, Schindler, an investment that we had in the portfolio since 2016.

Investments 52

Investments Investing Valuation Clients 52

The Big Picture

MARCH 27, 2023

Before that, 2016, the energy crisis, same. There are a ton of expenses, and they’re getting higher with compliance and marketing and reporting and investor relationship, et cetera. And so what that’s done is a couple things. One is the period of time where you have distressed bonds available has shortened, right?

Assets 285

Assets Investments Investing Management 285

Diamond Consultants

JULY 7, 2022

These advisors might outsource some compliance or back-office functions, but for the most part, they handle everything in-house—from the tech stack to marketing to investments. They have no interest in managing compliance, middle- and back-office functions, or putting toner in the copy machine.

Compliance 52

Compliance Wealth Management Management Clients 52

Sara Grillo

FEBRUARY 13, 2023

According to an article by Larry Swedroe from 2016, controversial investments yield post abnormal returns, generally, and screening them out causes performance to suffer. Swedroe cites a study by Greg Richey from the Summer 2016 issue of The Journal of Investing. 2016, May). 2016, July 25). link] Richey, Greg.

Investments 72

Investments Investing Clients Portfolio 72

The Big Picture

JANUARY 21, 2025

It was just a struggle from day one, particularly in the regulatory environment that is the securities business between lawyers and compliance people. 00:29:38 [Speaker Changed] So, humble Dollar was launched right at the end of 2016. Companies are, large, companies are incapable of innovating in that way.

Investments 147

Investments Investing Management Retirement 147

Brown Advisory

JUNE 12, 2017

Insurance operations in total contributed about 20% of Berkshire’s revenue in 2016, and about 6% of pretax income came from insurance underwriting profits. billion of investable float in 2016, which partially funds Berkshire’s $260 billion investment portfolio. More importantly, insurance contributed $91.5 annualized compared with 6.9%

Investments 52

Investments Investing Ethics Taxes 52

Brown Advisory

JUNE 12, 2017

Insurance operations in total contributed about 20% of Berkshire’s revenue in 2016, and about 6% of pretax income came from insurance underwriting profits. billion of investable float in 2016, which partially funds Berkshire’s $260 billion investment portfolio. More importantly, insurance contributed $91.5 annualized compared with 6.9%

Investments 52

Investments Investing Ethics Taxes 52

The Big Picture

AUGUST 20, 2024

So any compliance people listening, I’m just spitballing here. And if I’m gonna run through that language and, and help explain it, the single biggest contributor to that research was actually a 2016 paper by Lace Peterson, an A QR brilliant individual who wrote a paper called Sharpening the Arithmetic of Active Management.

Assets 173

Assets Management Portfolio Marketing 173

The Big Picture

JANUARY 24, 2023

RITHOLTZ: So I know we’re not going to talk about performance and returns because of the normal compliance headaches. And so we do the credit in the net lease for good steady yield, and we do private equity and strategic equity for, you know, big returns. Do you target specific returns for different types of investment?

Investments 263

Investments Investing Numbers Banking 263

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? I mentioned 2016, ‘15, going back to that period of time, when we started recognizing, wow, your tastes and trends are changing a lot for more traditional office assets. RITHOLTZ: 16 percent annually, net of fee?

Assets 162

Assets Investments Investing Portfolio 162

The Big Picture

SEPTEMBER 5, 2023

RITHOLTZ: Just, I’m not a big Instagram fan, and I’m certainly not a Facebook fan, but I’m on Threads waiting for compliance to give me approval to start threading, tweeting, I don’t even know what you would call it. RITHOLTZ: 44, I mean, it’s there for the taking. MILLER: Right. RITHOLTZ: Really?

Sales 130

Sales Numbers Marketing Marketing 130

MarketWatch

APRIL 23, 2023

A month later, the private bank renewed an authorization for Epstein to borrow against his account, even though the bank’s compliance department had warned about his unusual banking practices, which including making large cash withdrawals. John Duffy, who ran the U.S. private bank, went to the townhouse for a meeting in April 2013.

Accounting 98

Accounting Banking Compliance Wealth Management 98

Sara Grillo

SEPTEMBER 26, 2022

His co-authored paper, The Determinants of Nest Egg Sustainability , was a Finalist in the Journal of Financial Planning’s 2016 Academic Research Competition and appeared in the May 2017 issue of that journal. . Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Nerd's Eye View

NOVEMBER 20, 2024

Which might require advisers to periodically scrub the roster of mutual funds they purchase for clients to confirm that no lower-cost share class alternatives are available and that clients with existing mutual fund holdings are not eligible for a tax-free conversion to a lower-cost share class within the same mutual fund.

Fiduciary Duty 244

Fiduciary Duty Clients Commission Accounting 244

Carson Wealth

AUGUST 26, 2024

Think back to 2016 and 2020 for example. Compliance Case # 02382058_082624_C The post Market Commentary: S&P 500 Approaches All-Time High as Fed Pivots at Jackson Hole appeared first on Carson Wealth. We expect to see a similar scenario this year, so get ready for some perfectly normal seasonality.

Marketing 95

Marketing Marketing Economy Communication 95

Carson Wealth

JANUARY 21, 2025

Markets Give Solid Early Marks to Trump, but Not as Strong as 2016 The S&P 500 rallied 2.9% We also can compare market performance to 2016, which saw prospects of a similar policy shift to what we have currently. in 2016 2017, but 4.0% last week helped by some positive inflation news (more on that below). versus +6.6%

Marketing 72

Marketing Marketing Insurance Economy 72

Carson Wealth

NOVEMBER 11, 2024

Many noted how the 2022 midterms came in much closer to expectations and that maybe this time so would the presidential election, but this is yet another election involving President Trump that saw his eventual numbers come in better than expected, similar to 2016 and 2020.

Marketing 95

Marketing Marketing Economy Numbers 95

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. LINDZON: If you return your cash in 2016, we returned some cash in Robinhood in 2016, very early, but say those LPs bought Bitcoin. RITHOLTZ: I have a behavioral finance list. I have a car list. That’s fun.

Media 290

Media Investments Investing Valuation 290