Nerd's Eye View

OCTOBER 25, 2023

In 2019, the SEC released a Commission Interpretation that separated the obligation of RIAs to act in their clients' best interests into separate duties of care (to provide investment advice in the best interest of the client) and loyalty (to eliminate or disclose all potential conflicts of interest with the client).

Fiduciary Duty 246

Fiduciary Duty Commission Clients Accounting 246

MarketWatch

APRIL 17, 2023

Securities and Exchange Commission on Monday charged crypto trading platform Bittrex Inc. investors as a broker, exchange and clearing agency without registering these activities with the Commission, in violation of the law. The SEC alleged that Bittrex earned at least $1.3 billion in revenue between 2017 and 2022 serving U.S.

Commission 98

Commission Compliance Marketing Marketing 98

Nerd's Eye View

MAY 22, 2024

With these factors in mind, the Federal Trade Commission (FTC) in April of 2024 announced a final rule banning most non-competes nationwide that is expected to take effect (pending legal challenges) on September 4, 2024.

Financial Advice 246

Financial Advice Commission Clients Financial Advisor 246

Nerd's Eye View

JUNE 12, 2024

For example, if an advisor recommends an investment that prioritizes the commission they would receive rather than any benefit the client would derive from it, they could incur fines and sanctions for violating their fiduciary duty as an advisor.

Fiduciary Duty 245

Fiduciary Duty Risk Tolerance Investments Investing 245

Nerd's Eye View

DECEMBER 6, 2023

While commission-based models remain in use, fee-for-service models (including AUM, hourly, retainer, and subscription) have become increasingly popular. Over the past several years, the financial services industry has undergone a tremendous evolution in how financial advisers deliver and charge for their services.

Investing 246

Investing Investments Retirement Planning Financial Advising 246

Nerd's Eye View

DECEMBER 7, 2022

But for many years, advisers looking for guidance from the Securities and Exchange Commission (SEC) regarding what kind of performance advertising was permissible had to rely on fairly general guidelines and SEC staff statements in the form of “no-action” letters.

Advertising 246

Advertising Investing Investments Marketing 246

Nerd's Eye View

FEBRUARY 22, 2023

Additionally, the ‘correct’ answer for some sections on Form ADV may depend to some degree on personal interpretation of questions that have not changed with evolving business practices.

Commission 236

Commission Clients Investments Investing 236

MarketWatch

MAY 22, 2023

Securities and Exchange Commission updating its strategy to accelerate entry to the U.S. The company has modified the structure of its interest in that company in order to ensure continued compliance with Nasdaq listing rules, it said in a statement. CGCCA:WEED said Monday it has filed a revised proxy statement with the U.S.

Compliance 75

Compliance Commission Marketing Marketing 75

Advisor Perspectives

FEBRUARY 7, 2024

Hedge funds and proprietary trading firms that regularly trade US Treasuries are set to be labeled as dealers by the Securities and Exchange Commission — a tag that brings greater compliance costs and scrutiny.

Compliance 52

Compliance Commission 52

Truemind Capital

MARCH 6, 2024

Unfortunately, the incentive structure based on commissions in established wealth management set-ups has compromised fiduciary responsibilities towards an investor. In simple terms, the products that offer higher commissions to the distributors/agents in most cases are not appropriate for investors.

Commission 52

Commission Investing Investments Compliance 52

Norman Marks

SEPTEMBER 23, 2022

Last year, the Independent Casino Commission (in New South Wales, Australia) appointed Adam Bell, SC (an attorney) to lead an independent inquiry into The Star Pty Ltd. The stated objective was to “assess The Star’s suitability to hold a casino licence and to examine compliance with its legal obligations. Star Entertainment Group).

Compliance 49

Compliance Management Commission Government 49

Sara Grillo

OCTOBER 31, 2022

Any financial advisor who is registered as an advisor with a regulator has to fill out this form for initial approval by either a state or a Federal (the United States Securities and Exchange Commission) regulator. If the person is an insurance agent or solely a broker selling commission-based products, they will not have to file a Form ADV.

Financial Advisor 110

Financial Advisor Commission Clients Compliance 110

MarketWatch

MARCH 27, 2023

Binance, the world’s largest crypto exchange, was sued by the Commodity Futures Trading Commission Monday for alleged violations of the federal laws governing commodities markets. clients in evading compliance controls and instructing customers to obscure their location using virtual private networks, or VPNs. law” by assisting U.S.

Compliance 52

Compliance Commission Government Clients 52

Midstream Marketing

JANUARY 19, 2025

Yes… but if that’s the path you want to go down, the Securities and Exchange Commission would like to have a word with you. " So if you don’t fully understand it today (or if you suddenly realize you’re not in compliance), you still have a lot of time to get things right.

Advertising 40

Advertising Marketing Marketing Investment Advisor 40

Indigo Marketing Agency

MARCH 19, 2024

Compliance: Consistently adhere to Securities and Exchange Commission (SEC) , FINRA , Regulation Best Interest , broker-dealer compliance , and state regulations for financial advisors. Client enrollment phase: During the onboarding process, incorporate opt-in alternatives.

Financial Advisor 80

Financial Advisor Marketing Marketing Compliance 80

Walkner Condon Financial Advisors

APRIL 17, 2023

In contrast, a commission-based financial advisor receives commissions or other forms of compensation from financial product providers for recommending and selling their products. This can make it difficult for investors to fully understand the potential conflicts of interest that may exist when working with a commission-based advisor.

Fee Only 52

Fee Only Financial Advisor Certified Financial Planner Commission 52

Walkner Condon Financial Advisors

APRIL 21, 2023

In contrast, a commission-based financial advisor receives commissions or other forms of compensation from financial product providers for recommending and selling their products. This can make it difficult for investors to fully understand the potential conflicts of interest that may exist when working with a commission-based advisor.

Certified Financial Planner 52

Certified Financial Planner Financial Advisor Fee Only Financial Planner 52

Harness Wealth

NOVEMBER 12, 2024

Note that gifting private company stock may require a professional appraisal to establish fair market value and ensure compliance with IRS regulations. Before making any moves, consult with a tax advisor to understand the implications and ensure compliance with all legal requirements. What is the Lifetime Gift Tax Exemption?

Tax Planning 52

Tax Planning Taxes Planning Estate Planning 52

Leading Advisor

AUGUST 2, 2023

Branding Commission/Fee For Service Compliance and Licensing Marketing and Sales Office Environment Products and Services Technology and Equipment Team/Succession Planning Vision and Business Plan What… The post Will increasing your understanding of Flow & the Elimination of Flow Killers help you to make these Processes & Systems STICK? (..)

License 40

License Compliance Commission Business Planning 40

MarketWatch

MAY 19, 2023

loss in premarket trading Friday, after the provider of delivery technologies and manufacturing services for drug makers said it has received notice from the New York Stock Exchange (NYSE) that it was not in compliance with listing standards. CTLT dove to a 5.9% Just prior to the announcement, the stock was up 3.9%.

Compliance 40

Compliance Commission Manufacturing Accounting 40

MarketWatch

MARCH 16, 2023

NTNX said late Thursday it had received a notification of deficiency from Nasdaq because it had not filed its quarterly report with the Securities and Exchange Commission. Nutanix said the notice has no immediate effect on its listing, and that it planned to file the report within 60 days to regain compliance under Nasdaq rules.

Compliance 40

Compliance Commission Planning Marketing 40

Trade Brains

MAY 14, 2024

The RedSeer report was commissioned by Go Digit for the sole purpose of creating this RHP. of India’s total population as of 2023 as per Redseer estimates based on the data from Economic and Social Commission for Asia and the Pacific (ESCAP). As of FY23 Go Digit reported a commission ratio of Rs. 100 in premiums.

Insurance 59

Insurance Commission License Management 59

Sara Grillo

OCTOBER 21, 2022

Fee-only advisor – This is an advisor that does not charge commissions and hence is believed to be more aligned with the client’s best interests. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advise on such matters, contact a legal or compliance advisor.

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

SEI

AUGUST 17, 2022

SEI Regulatory Services helps investment managers and institutions meet reporting and compliance requirements for pooled vehicles, alternative vehicles, separate accounts, sovereign wealth funds, family offices, and more—benefiting from a unique data warehouse approach, team of industry experts, and a single comprehensive platform.

Financial Services 52

Financial Services Compliance Commission Assets 52

Midstream Marketing

DECEMBER 10, 2024

Navigating Regulatory Compliance in Marketing For financial advisors, it is very important to follow rules. One good practice is to have a compliance officer check and approve all marketing materials before sharing them. It helps create a record for compliance. This information keeps prospective clients informed.

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 52

Sara Grillo

NOVEMBER 8, 2022

You should get this run by compliance before publishing any of this text. You should ask compliance for them. Other additional fees that you can expect to incur, but that will not be paid to us in any part, may include: Trading fees Brokerage commissions Mutual funds and ETF expenses Custodial fees.

Compliance 52

Compliance Wealth Management Financial Advice Financial Planning 52

Harness Wealth

JANUARY 29, 2025

Transaction costs: Frequent trading to harvest losses can result in higher costs, including brokerage fees and commissions, and an increased risk of tracking errors. When you have limited expertise: tax-loss harvesting requires careful monitoring and compliance with IRS regulations. Is tax-loss harvesting right for you?

Taxes 52

Taxes Assets Portfolio Sales 52

Trade Brains

OCTOBER 30, 2024

Furthermore, this achievement validates the company’s strategy of focusing on compliance-driven industries that require robust security solutions. Also read… Will Petrol prices come down across India after OMCs hike in dealer commission? Notably, the company’s sales increased from INR 10.05

Compliance 52

Compliance Commission Investment Advisor Consulting 52

Trade Brains

SEPTEMBER 15, 2023

Flares & Process Equipment Division: This segment is a multi-disciplined SBU that provides services like design, manufacture, erection & commissioning, electrical, mechanical and instrumentation of process packages, process equipment, flare system & components and EPC contracts from the Chinchwad plant. This segment contributes.

Planning 105

Planning Manufacturing Compliance Commission 105

Inside Information

APRIL 1, 2024

Broker-dealers live off of the activities of their affiliated reps; they facilitate the transactions and asset management for a percentage of the commissions and fees that advisors/reps receive from their clients. The BD doesn’t control prices charged to clients except to the extent that it facilitates commissions.

Compliance 40

Compliance Commission Sales Financial Services 40

Investment Writing

NOVEMBER 20, 2024

Power and Associates to recommend boosting investor trust with methods that include honest communication about investment performance and plain explanations for fees and commissions, according to “Study: Why focus on people, not profits, increases investor trust.” Under SEC and FINRA oversight, nobody wants to make a mistake.

Compliance 52

Compliance Communication Assets Investments 52

Norman Marks

DECEMBER 11, 2023

The US Securities and Exchange Commission has been more visible recently in challenging and even charging companies for errors in the disclosures they have included in filings and other reports to shareholders.

Commission 49

Commission Compliance Government 49

Fortune Financial

SEPTEMBER 25, 2023

Regulatory Compliance Ensure the wealth management firm is registered and compliant with relevant regulatory authorities. In the United States, this often means being registered with the Securities and Exchange Commission (SEC) or state-level agencies. Fee Transparency Transparency is paramount when it comes to fees.

Wealth Management 59

Wealth Management Management Risk Tolerance Retirement Planning 59

Sara Grillo

DECEMBER 12, 2022

Watch as all h&#@ breaks loose discussing the question of broker vs. financial advisor, commissions, fees, value, and more! The advisors made the point that the cost of insurance can’t be separated from the “cost of service” or the commission the agent makes. If you’re going out for 20 year term, who cares what the commission is?

Financial Advisor 52

Financial Advisor Commission Clients Insurance 52

Trade Brains

NOVEMBER 15, 2023

The company provides a full variety of financial products and related services for RE projects and other value chain operations such as equipment manufacturing and transmission, from project conceptualization to post-commissioning.

Government 59

Government Compliance Commission Banking 59

Fortune Financial

SEPTEMBER 25, 2023

Regulatory Compliance Ensure the wealth management firm is registered and compliant with relevant regulatory authorities. In the United States, this often means being registered with the Securities and Exchange Commission (SEC) or state-level agencies. Fee Transparency Transparency is paramount when it comes to fees.

Wealth Management 52

Wealth Management Management Risk Tolerance Retirement Planning 52

Good Financial Cents

AUGUST 12, 2023

Understanding these rules or consulting a tax professional is vital to maximizing after-tax returns and compliance with tax laws. This includes wages from a job, salaries, hourly payments, commissions, and tips. Regulatory and Compliance Challenges Different passive income streams come with varying regulatory and legal considerations.

Risk Tolerance 58

Risk Tolerance Taxes Compliance Retirement 58