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The Return Of IAR Ethics CE Day And The State Of The (Nerd’s Eye View) Blog

Nerd's Eye View

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! Along with the expanded CE offerings, we've also been reinvesting heavily into making the Kitces platform easier to use.

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Weekend Reading For Financial Planners (April 8-9)

Nerd's Eye View

Also in industry news this week: FINRA has announced that, on the heels of its first enforcement action under the Reg BI rules, it will be ramping up its examinations of broker-dealers for potential violations (after a long period of relative leniency when firms were still determining how best to comply with the rule) A recent study from Ameriprise (..)

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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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Weekend Reading For Financial Planners (June 1-2)

Nerd's Eye View

Going beyond FPA’s existing PlannerSearch tool, the narrowed-down list is meant to help consumers identify a focused subset of the most reputable planners.

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#FA Success Ep 330: Raising And Lowering Fee Minimums To Manage Growth Pace And Advisor Capacity, With Ari Weisbard

Nerd's Eye View

that oversees $143 million in assets under management (AUM) for nearly 75 client households. Ari is Managing Partner of Values Added Financial, an independent RIA based in Washington, D.C.,

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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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What stops client complaints from escalating

Million Dollar Round Table (MDRT)

By Antoinette Tuscano, MDRT senior content specialist You hope you never get them, but misunderstandings and client complaints can happen. There’s an important business process, though, that can stop them from escalating into ethics complaints.

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