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How To Survive Your First SEC Audit: Preparing For The SEC Examination And Complying With The Information Request Letter

Nerd's Eye View

At the core of the examination, though, is a review of the firm's compliance policies and procedures and code of ethics, including not just a copy of the 'paper' compliance manual but also how the practices and controls the firm puts into place ensure it adheres to its compliance program.

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The SEC Playbook For Newly-Registered Advisers: Preparing For The SEC Examination And Complying With The Information Request Letter

Nerd's Eye View

At the core of the examination, though, is a review of the firm's compliance policies and procedures and code of ethics, including not just a copy of the 'paper' compliance manual but also how the practices and controls the firm puts into place ensure it adheres to its compliance program.

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Top Strategies for Registered Investment Advisor Marketing

Midstream Marketing

A strong brand identity is key to getting and keeping clients in this tough market. Websites, social media, and SEO offer great opportunities to connect with new clients online. RIAs must understand and follow SEC marketing rules to meet their ethical and legal needs. Clients looking for investment advice have many options.

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Growing Your New Tax Firm: Strategies for Client Acquisition and Retention

Harness Wealth

Whether you’re a senior manager, partner, or at an earlier stage in your accounting career, understanding the intricacies of transitioning existing clients, as well as recruiting and retaining new clients, is paramount to your long-term success. Can You Take Clients With You When Leaving a Tax Firm?

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How Financial Advisors Can Scale Business Without Burnout

Indigo Marketing Agency

But by advertising smarter, you end up working less and succeeding more. Consider a financial advisor with 100 existing clients averaging $1M in assets each. Implementing automated tools for scheduling, client communications, and portfolio tracking can significantly reduce manual workload.

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Unlock Success with a Financial Marketing Consultant

Midstream Marketing

They work closely with their clients to reach this goal. They know that their marketing strategies work well and they follow important ethical and legal rules. Financial marketing consultants focus on understanding the target market for each client. Businesses must follow these advertising rules.

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Social Media Marketing for Financial Advisors: A Masterclass

Midstream Marketing

Key Highlights A strong presence on social media can help financial advisors meet potential clients and boost brand awareness. Get advice on creating content, such as combining educational and promotional posts, and using questions from clients. Many potential clients look online for information. Make a strong LinkedIn profile.

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