Nerd's Eye View

JULY 8, 2024

And to meet the growing demand for the required "Ethics & Professional Responsibility" content in particular, we're also excited to announce the return of our IAR Ethics CE on August 29 , 2024!

Ethics 239

Ethics Education Financial Advice Taxes 239

Nerd's Eye View

JULY 19, 2023

To address this issue, the North American Securities Administrators Association (NASAA) in 2020 released a Model Rule creating the first-ever CE requirements for IARs. In 2022, the first states to adopt the new Model Rule implemented their IAR CE requirements, and by 2024, at least 15 states will have begun requiring IAR CE.

Education 49

Education Investing Investments CFP 49

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. As such, even the most ethical taxpayers may feel anxiety about these reports, since they may end up being punished despite the best intentions.

Accounting 100

Accounting Compliance Taxes Banking 100

Sara Grillo

JUNE 24, 2024

This correction was updated in 2020 with AG 49A and again in May 2023 with AG49B. This is an expose of the entire universal life insurance industry and his decade-long research project to save millions of consumers and their lapsing policies makes him one of our country’s most important and ethical whistleblowers.

Insurance 59

Insurance Math Financial Advice Compliance 59

Sara Grillo

JUNE 2, 2022

What about ethics? I have several issues with the methodology, namely: The advisor must have an “acceptable compliance record.” There are plenty of financial advisors with a long tenure in the business and spotless compliance records. Number of employees per client? What about advisor/client ratio? ” Huh?

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

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. As such, even the most ethical taxpayers may feel anxiety about these reports, since they may end up being punished despite the best intentions.

Accounting 52

Accounting Compliance Taxes Banking 52

The Big Picture

DECEMBER 6, 2022

But when you factor in, you know, legal costs, compliance, portfolio management, trading, there is a lot that goes into launching an ETF. 2020 was a huge year. You know, we had a really good 2020. You’re suggesting that’s the money-loser for that company? BERRUGA: Yeah. And right now, we have close to 100 ETFs.

Clients 162

Clients Investing Investments Management 162