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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

RIAs must understand and follow SEC marketing rules to meet their ethical and legal needs. A strong marketing plan and effective advertising adviser practices related to Form ADV are essential for successful marketing practices. By regularly exceeding what clients expect, investment advisors maintain high ethical standards.

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Why Advocacy Is Essential for Business Success With Andrew Holt and Cody Schoonover

NAIFA Advisor Today

NAIFA works on behalf of its members to promote a favorable regulatory environment, provide professional education services, and ensure ethical professional conduct for insurance and financial advisors. Andrew Holt is the Government Relations and Grassroots Manager at the National Association of Insurance and Financial Advisors (NAIFA).

Ethics 52
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Growing Your New Tax Firm: Strategies for Client Acquisition and Retention

Harness Wealth

Table of Contents Understanding Client Ownership and Ethics Can You Take Clients With You When Leaving a Tax Firm? In this guide, we’ll dive into all these vital aspects, and outline how Harness Tax can further facilitate your growth and marketing efforts. Can You Take Clients With You When Leaving a Tax Firm?

Taxes 52
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37 Best Side Hustle Ideas for 2023

Good Financial Cents

You can begin advertising your services on websites like Craisglist.org or Facebook Marketplace, and it shouldn’t be difficult to get more gigs once you have a few references you can share. While flipping concert tickets may not feel ethical, money can be made with this hustle. How much can you earn cleaning houses?

Food 105
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My Humble, Unregulated Profession

Inside Information

The interesting thing about the journalism ‘profession’ (it’s really more of an avocation) is that we aren’t bound by any formal ethical rules or guidelines. I no longer sit for interviews with most writers in the consumer press, because I think those publications are hopelessly conflicted and captured by their advertisers.