The Big Picture

APRIL 22, 2023

 This week, we speak with Brian Hamburger , founder and chief executive officer of the business / regulatory compliance consultancy MarketCounsel , as well as the founder and chief counsel of the Hamburger Law Firm, a boutique law firm that focuses on investment and securities industry matters.

Compliance 299

Compliance Wealth Management Consulting Management 299

The Big Picture

MARCH 29, 2023

Curious if others feel the same… [link] — Barry Ritholtz (@ritholtz) March 28, 2023 Let’s start with this simple observation: Americans’ attitudes towards work were less changed during the pandemic than they were revealed. Previously : WFH vs RTO (February 16, 2023) Why Aren’t There Enough Workers?

Compliance 336

Compliance Banking Numbers Assets 336

Abnormal Returns

AUGUST 14, 2023

thinkadvisor.com) IRAs IRS Notice 2023-54 answers some important questions for inherited IRAs. financial-planning.com) A review of recent adviso rtech news including the compliance landscape for Twitter alternatives. (riabiz.com) The Schwab Charitable donor-advised fund keeps growing.

Portfolio Management 246

Portfolio Management Compliance Portfolio Financial Planning 246

Nerd's Eye View

JANUARY 13, 2023

FINRA has released its enforcement priorities for 2023, including a continued focus on compliance with Regulation Best Interest as well as several new priority topics, such as manipulative trading, fixed-income pricing, and trading in fractional shares.

Financial Planner 241

Financial Planner Retirement Planning Retirement Compliance 241

XY Planning Network

DECEMBER 18, 2023

As 2023 comes to a close, we rounded up our top 10 most-viewed blogs published this year. From RIA compliance best practices to using behavioral marketing tactics to get more clients, this list is loaded with one helpful resource after another to send you into 2024.

Financial Advisor 109

Financial Advisor Compliance Clients Marketing 109

Abnormal Returns

DECEMBER 26, 2022

rationalreminder.libsyn.com) The biz The DeVoe 2023 M&A report shows expectations for lower RIA valuations. investmentnews.com) Practice management Why firms need to make compliance an ally, not an obstacle. (open.spotify.com) Cameron Passmore and Benjamin Felix talk with Prof. morningstar.com) SECURE Act 2.0

Risk Tolerance 241

Risk Tolerance Financial Planner Financial Advising Compliance 241

Nerd's Eye View

JULY 26, 2024

The study also identified attributes of "top performing" firms across a range of metrics, finding that they are more likely than other firms to have a clear ideal client persona, client value proposition, and marketing plan.

Financial Planner 246

Financial Planner Retirement Communication Financial Advisor 246

Nerd's Eye View

FEBRUARY 2, 2024

Also in industry news this week: A recent study from advisor digital marketing firm Snappy Kraken suggests firms that invest in Search Engine Optimization (SEO), have a regular cadence of emails to their subscriber list, and include video content in these messages tend to get greater returns from their marketing efforts CFP Board has created a guide (..)

Financial Planner 246

Financial Planner Compliance CFP Clients 246

Abnormal Returns

JULY 1, 2023

wsj.com) Due to patient non-compliance, we need more long-acting drugs. marketwatch.com) The best TV shows of 2023, so far, including 'The Other Two.' hollywoodreporter.com) Sports MLB is projecting a 6-8% increase in overall annual attendance in 2023. wired.com) Food When fewer choices make for better shopping.

Startup 245

Startup Food Financial Advising Transportation 245

Risk Management Guru

NOVEMBER 20, 2023

As the year 2023 draws to a close, it’s time to reflect on the significant strides made in the realm of Risk Management within the financial services industry. Summary of 2023 The financial services industry has made significant progress in strengthening its risk management capabilities in 2023.

Risk Management 105

Risk Management Financial Services Management Compliance 105

MarketWatch

MARCH 30, 2023

million total — is for “unsafe or unsound practices” related to historical inadequate oversight of sanctions compliance risk at its Wells Fargo Bank N.A. Wells Fargo stock is down nearly 10% in 2023, compared to a 5% gain by the S&P 500 SPX. WFC a combined $97.8 sanction regulations. The Fed’s fine of $67.8 The bank violated U.S.

Compliance 75

Compliance Banking Assets Marketing 75

Nerd's Eye View

JUNE 28, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that a recent study found that at a time when the number of SEC-registered broker-dealers and their registered representatives is declining, the number of SEC-registered RIAs, their assets under management, and the number of (..)

Financial Planner 189

Financial Planner Clients Compliance Numbers 189

Good Financial Cents

DECEMBER 14, 2022

With this in mind, we’ve compiled a list of the highest-paying finance jobs for 2023. While many finance jobs pay well, the following 12 positions sit at or near the top of the pay scale in 2023: 1. Chief Compliance Officer. The post 12 Best Paying Jobs in Finance in 2023 appeared first on Good Financial Cents®.

Budgeting 88

Budgeting Compliance Accounting Insurance 88

The Big Picture

APRIL 6, 2023

We have regulatory and compliance obligations around what we say and do in public, and we do our very best to make sure that what we put out is accurate. Is that a thing in March 2023? I see all of the Google News headlines about the firm and its employees; I read every article about everything we do as a company.

Wealth Management 278

Wealth Management Portfolio Management Clients Portfolio 278

Abnormal Returns

SEPTEMBER 26, 2022

(bpsandpieces.com) The 2nd annual Future Proof conference is set for Huntington Beach, CA, on September 10-13, 2023. riabiz.com) Compliance Many clients want to text with their adviser. linkedin.com) Fintech Most people don't need asset management, they need paycheck management. Budge looks to solve this.

Tax Planning 130

Tax Planning Startup Compliance Financial Planning 130

Carson Wealth

MARCH 17, 2025

In 2023 and 2024 it made more sense to be heavily in stocks, and the big US technology-oriented names in particular, but with many of the growing worries, there is nothing wrong with having a portfolio that will help you sleep at night, but dont panic and sell after a few bad days. Same thing for 2023.

Marketing 84

Marketing Marketing Economy Portfolio 84

Carson Wealth

JANUARY 2, 2024

Some are perhaps unorthodox, but they tell us a lot about 2023 while setting the scene for 2024. Carson’s team provides its top charts that tell the story of 2023, including the four-year presidential cycle, high-tech manufacturing, bond yields, equity style performance, and a certain chipmaker that received a lot of attention.

Marketing 89

Marketing Marketing Economy Manufacturing 89

AdvicePay

MAY 22, 2024

Earlier this year, we released our 2024 Fee-for-Service Industry Trend Report , showcasing data from over 380,000 fee-for-service financial planning transactions processed through our platform in 2023. We are excited to share some of the top questions from the webinar.

Financial Planning 82

Financial Planning Compliance Planning Management 82

Trade Brains

NOVEMBER 21, 2023

In 2023, the RBI imposed monetary penalties on eight government banks, adding up to Rs. crores on June 22 Reason for imposing the penalty is for non-compliance with certain directions issued by RBI on ‘Loans and Advances – Statutory and Other Restrictions’ and the Advisory on ‘Man in the Middle (MiTM) Attacks in ATMs’ (the Advisory).

Government 59

Government Banking Compliance Accounting 59

Carson Wealth

JANUARY 13, 2025

While there are reasons for recent declines, we view it in part as a perfectly normal pause after the gains of 2023 and 2024. million in 2023 but well in the ballpark of what we saw in 2017-2019 (2.1 It was strong even in 2022 and 2023, which was another clue that a recession wasnt imminent. Compliance Case # 7521978.1._011325_C

Marketing 75

Marketing Marketing Economy Compliance 75

Good Financial Cents

JANUARY 11, 2023

They must make decisions with the utmost accuracy and integrity to ensure compliance with banking regulations and protect the financial institution from costly legal or financial repercussions. The post The 8 Highest-Paying Jobs in Major Banks for 2023 appeared first on Good Financial Cents®. Retrieved from [link].

Banking 96

Banking Budgeting Portfolio Management Recruitment 96

Diamond Consultants

JANUARY 21, 2025

And to be fair, the wirehouses absolutely provide a great degree of support and service (think about the various costs they bear on your behalf, such as asset custody, branding, technology, HR, compliance, investment products, etc.). Many advisors experienced record years in 2023 and 2024. Stay because your firm is helping you grow.

Recruitment 52

Recruitment Compensation Planning Clients Consulting 52

Harness Wealth

FEBRUARY 5, 2025

The Internal Revenue Service (IRS) adjusts FEIE exclusion amounts annually based on inflation, with the exclusion amounts for the past 5 years being as follows: Tax Year FEIE Amount 2025 $130,000 2024 $126,500 2023 $120,000 2022 $112,000 That said, the FEIE only applies to foreign earned income, with foreign passive income ineligible for exclusion.

Taxes 52

Taxes Compliance Accounting Government 52

Carson Wealth

NOVEMBER 4, 2024

Between mid-2023 and mid-2024, we saw the unemployment rate move higher even as payroll growth remained fairly strong. Compliance Case # 02490965_110424_C The post Market Commentary: Seasonal Tailwinds Ahead, but First an Election appeared first on Carson Wealth. But there’s a lot more going on below the surface.

Marketing 96

Marketing Marketing Economy Numbers 96

Nerd's Eye View

OCTOBER 25, 2023

But while that interpretation clarified at a high level the SEC's view on what constitutes an adviser's fiduciary duty, it didn't provide many actionable takeaways for RIAs to shape their conduct.

Fiduciary Duty 246

Fiduciary Duty Commission Clients Accounting 246

FMG

AUGUST 15, 2023

Key Insight It’s important to check with your compliance team, but using Google Reviews and testimonials in your marketing is a great way to showcase what you can do and let others know what it’s like to work with you from a third-party source.

Media 52

Media Financial Advisor Compliance Clients 52

FMG

APRIL 11, 2023

Just make sure that you double-check with compliance. Book a Demo to Find Out More The post Trending This Tuesday – April 11, 2023 appeared first on FMG Suite. When a client speaks highly of your firm, that does a lot in terms of social proof, as others will be more likely to work with you. Learn how here.

Media 52

Media Compliance Clients Economy 52

FMG

FEBRUARY 14, 2023

This handy infographic is broken down into the following: Strategy Auditing Technology Paid media Content development Customer response Compliance and risk assessment Measurement 2. Book a Demo to Find Out More The post Trending This Tuesday, February 14, 2023 appeared first on FMG Suite. Are You Podcasting Yet?

Media 52

Media Compliance Economy Marketing 52

Carson Wealth

MARCH 10, 2025

In fact, we had two 5% mild corrections last year plus a 10% correction, and one mild correction in 2023, but both years that gained more than 20% when all was said and done. This is officially the first 5% mild correction of 2025, something that even the best years tend to see, and no reason in itself to become pessimistic.

Marketing 80

Marketing Marketing Economy Government 80

Sara Grillo

MARCH 13, 2023

This episode we’re going to be talking about 2023 ETF trends and I thrilled to have some of industry’s most knowledgeable people here to rap about it all: Nate Geraci , host of ETF Prime podcast and President of the ETF Store, and Phil Bak , founder of Armada ETFs. Will 2023 be the year for physical gold ETFs? Was this helpful?

Financial Advisor 59

Financial Advisor Assets Management License 59

MarketWatch

JANUARY 27, 2023

OGICA:OGI said Thursday it received notification from the the Nasdaq that it is not in compliance with the minimum bid price requirement to retain its listing because its stock has traded below $1.00 per share for a minimum of 10 consecutive business days, the company will regain compliance. for 30 consecutive trading days.

Compliance 52

Compliance Marketing Marketing 52

Carson Wealth

APRIL 17, 2023

Paul West and Michael David of Carson Wealth have been recognized in the 2023 Forbes Best-in-State Wealth Advisors list. It is an honor to be recognized by Forbes as one of the Best-in-State Wealth Advisors for 2023,” said Paul West, managing partner, Carson Wealth.

Wealth Advisor 52

Wealth Advisor Compliance Clients Financial Advisor 52

Brown Advisory

JANUARY 20, 2023

Don't get an "F" on FBAR ajackson Fri, 01/20/2023 - 13:43 We work with many clients to develop smart, flexible tax strategies; such strategies are essential to align their tax, investment and wealth preservation plans. The FBAR is one of many obscure and seemingly benign tax forms that can trip up otherwise compliant taxpayers.

Accounting 100

Accounting Compliance Taxes Banking 100

Harness Wealth

MARCH 17, 2023

Tax Code Changes for DeFi in 2023 For the 2023 tax year, the U.S. Revised Tax Brackets and Rates: The IRS has updated the tax brackets and rates for 2023 to account for inflation. The post An In-Depth Guide to DeFi Taxes for 2023 appeared first on Harness Wealth - Advice for Equity Owners.

Taxes 59

Taxes Government Assets Accounting 59

Diamond Consultants

MAY 14, 2024

Over 9,000 advisors changed firms in 2023, marking a 7% increase from the year before.* However, these types of options are more expensive than building an RIA and require the advisor to cede elements of control since they are operating on someone else’s platform and under their compliance policies.

Recruitment 105

Recruitment Clients Banking Startup 105

Diamond Consultants

DECEMBER 19, 2023

We believe verily that everyone should have a Plan B, whether they have any thoughts of moving or not—especially in a world where heightened compliance scrutiny and zero-tolerance risk cultures abound. The reality is that most large moves in 2023 were non-Protocol. But more than that, there is power in conducting due diligence.

Recruitment 52

Recruitment Wealth Management Compliance Clients 52

Carson Wealth

MARCH 3, 2025

It is also the first time the S&P 500 is negative (although only down 1%) over three calendar months since October 2023. Thats just about half the contribution we saw in 2023 and 2024. Compliance Case # 7694111.1_030325_C The post Market Commentary: Good Riddance February, Hello March appeared first on Carson Wealth.

Marketing 78

Marketing Marketing Government Economy 78