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Wealth Management
OCTOBER 11, 2024
Our tech columnist discusses AI and compliance with the chief executive of one of the industry’s largest providers of communications compliance technology.
264 
Wealth Management
SEPTEMBER 26, 2024
Once complete and available, the Intelligent Agent should help relieve the burden of manual communications review on compliance officers.
274
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Wealth Management
MAY 20, 2023
Preliminary results from a targeted exam indicated communications related to crypto asset securities products and services had four times the non-compliance rate of other kinds of products.
306 
Wealth Management
OCTOBER 31, 2023
The modern workplace requires financial firms to move with the times.
304 
Nerd's Eye View
APRIL 26, 2023
One of the most intimidating aspects of launching a solo advisory firm is the question of how to manage compliance. Creating a compliance calendar for a solo RIA can help to systematize and manage compliance tasks, requirements and deadlines.
246 
Nerd's Eye View
APRIL 26, 2023
One of the most intimidating aspects of launching a solo advisory firm is the question of how to manage compliance. Putting all of this information together, it’s possible to create a compliance calendar that accounts for each task required, its frequency, and the due date for each.
246 
Nerd's Eye View
JANUARY 31, 2025
Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that following the change of administration (and a new incoming chair of the SEC), the Investment Adviser Association is seeking to find ways to help RIAs (particularly smaller firms) manage the compliance responsibilities they (..)
Nerd's Eye View
NOVEMBER 30, 2022
And yet, despite the prominent role of taxes in financial planning, advisors are often prohibited by their compliance departments from making recommendations for a specific course of action on a certain tax strategy.
246 
Abnormal Returns
JANUARY 14, 2025
axios.com) Firms are still getting fined for text compliance issues. wsj.com) TikTok Ryan Broderick, "If youre an American thats been relying on TikTok as a publishing or communication tool it means that you fundamentally do not understand what the app is." thinkadvisor.com) A look at JP Morgan's ($JPM) ambitions in Europe.
182 
Nerd's Eye View
SEPTEMBER 13, 2024
Also in industry news this week: A CFP Board study indicates that financial planners with the certification earn 10% more than other advisors and show very high levels of career satisfaction A Morningstar study has identified 4 main areas where investors find value from their financial advisors, which might not match an advisor's own list of top ways (..)
Abnormal Returns
NOVEMBER 7, 2022
standarddeviationspod.com) Compliance Jason Zweig, "In 30 years of writing about the financial-advice industry, I never learned that advisers can provide less-comprehensive disclosures than stockbrokers." wsj.com) Advisers are scrambling to get into compliance with new advertising rules. thinkadvisor.com).
279 
The Big Picture
MAY 20, 2023
As president, she is responsible for corporate sustainability and responsible investing; Man Solutions and Man FRM; central trading, funds treasury and bank relationships; operations; financial crime; corporate real estate; and communications. Before joining the firm in 2010 as Chief Compliance Officer for Man GLG, Robyn held Sr.
312 
Nerd's Eye View
JULY 31, 2024
Even firms with robust compliance programs that do a good job following their required policies and procedures can struggle with examinations if they don't have the information that examiners will ask for readily available.
246 
Abnormal Returns
JULY 22, 2024
fastcompany.com) Advisers Off-channel communications surpassed marketing as the leading compliance concern for RIAs. (citywire.com) Retirement A Q&A with Wade Pfau about the challenges of spending in retirement. thinkadvisor.com) Why staggered retirements make a lot of sense.
264 
Nerd's Eye View
JUNE 17, 2024
Which suggests that advisers have an opportunity to leverage the power of online reviews, which can act as "evergreen referrals" and drive more prospects to seek out the firm’s services, all while adhering to their firm’s compliance requirements. Read More.
Nerd's Eye View
JUNE 3, 2024
This month's edition kicks off with the news that 'startup' custodian Altruist has completed a $169 million fundraising round as it continues to rebuild the RIA custodial tech stack layer-by-layer while positioning itself as the biggest RIA custodian built from scratch and solely for advisors – which, while making it the clear #3 custodian behind (..)
246 
Nerd's Eye View
DECEMBER 27, 2023
These responsibilities also extend to the use of any technology used in the process of giving advice: A recommendation made with the aid of technology still needs to be in the client's best interests, while the technology also needs to carry out any function as it's described in the advisor's marketing materials and client communications.
246 
Nerd's Eye View
JULY 26, 2024
Also in industry news this week: While the number of RIA M&A deals has not surged in 2024, the average size of deals has increased, demonstrating interest from (often private-equity-backed) firms in pursuing larger targets Off-channel communication tops the list of concerns amongst RIA compliance professionals, with advertising and marketing coming (..)
Nerd's Eye View
JULY 31, 2024
Even firms with robust compliance programs that do a good job following their required policies and procedures can struggle with examinations if they don't have the information that examiners will ask for readily available.
189 
Nerd's Eye View
AUGUST 28, 2024
Alternatively, some advisors have instead opted to collect clients' login information so they can execute the trades in their clients' accounts themselves –presenting numerous data security and compliance issues for the advisor (and can lead to the advisor being considered to have custody over client assets).
246 
Nerd's Eye View
AUGUST 28, 2024
Alternatively, some advisors have instead opted to collect clients' login information so they can execute the trades in their clients' accounts themselves –presenting numerous data security and compliance issues for the advisor (and can lead to the advisor being considered to have custody over client assets).
245 
Nerd's Eye View
JULY 22, 2024
In many respects, the ideal team is composed of people who will self-manage themselves without requiring extra involvement from the firm owner. And even for more seasoned entrepreneurs, the challenges around building a team that can work well together never really stop – they just take on different (and often more complex) forms.
246 
Nerd's Eye View
JANUARY 26, 2024
Also in industry news this week: A House committee has advanced a bill that would extend several expired business-related tax measures from the Tax Cuts and Jobs Act and would increase the value of the Child Tax Credit The SEC released its examination priorities for 2024, which include a focus on advisers' adherence to their duty of care and duty of (..)
Midstream Marketing
DECEMBER 7, 2024
This helps the right communications reach clients at the right time. The integration provides workflows that are automatic, along with digital marketing and compliance tools. AdvisorStream’s effective compliance tools help make this task simpler. These features support advisors in boosting client engagement.
52 
Nerd's Eye View
MAY 31, 2024
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.
Abnormal Returns
MARCH 6, 2023
morningstar.com) Brendan Frazier talks with Ted Klontz about how to better motivate, communicate and connect with clients and prospects. citywire.com) Compliance Why compliance needs to embrace technology and become nimbler. kitces.com) Vanguard Vanguard on the three main parts of behavioral coaching. (fa-mag.com)
147 
Nerd's Eye View
NOVEMBER 7, 2022
Hearsay Systems rolls out a new small-to-mid-sized RIA platform for social media compliance and website design. Riskalyze signals an intent to rebrand itself away from ‘just’ risk tolerance assessments to a broader focus on helping advisors grow clients and assets.
241 
Midstream Marketing
DECEMBER 26, 2024
Key strategies include leveraging up-to-date resources and personalizing client communications for better engagement. This platform helps enhance client communication, improve advertising efforts, and support business growth. Compliance-Approved Materials: The tool’s resources are checked by compliance professionals.
52 
Nerd's Eye View
JULY 8, 2024
Additionally, the upcoming Kitces Value Summit, coming December 12 , 2024, will tackle how real advisors provide and communicate their ongoing value to their clients. Along with the expanded CE offerings, we've also been reinvesting heavily into making the Kitces platform easier to use.
239 
Midstream Marketing
NOVEMBER 26, 2024
These methods include using technology, content marketing, and strategies that follow compliance rules. This includes using content marketing and sticking to compliance rules. They interact with different clients and have their own rules for compliance. By partnering with compliance experts, they can lower risks.
52 
Don Connelly & Associates
NOVEMBER 18, 2024
And, with the increasing complexity of financial markets and compliance requirements, advisors must spend more time on data entry, paperwork, and compliance at the expense of more client-facing activities.
Carson Wealth
JANUARY 28, 2025
Planning for risk involves due diligence in researching the companies youre considering supporting, care in structuring your philanthropic activities, and transparent and effective communication among donors, professional advisors, and grantees.
Indigo Marketing Agency
FEBRUARY 19, 2025
Strict regulations and compliance requirements often limit how financial companies can promote their services, making it essential to navigate these rules carefully. Marketing a financial advisory firm requires expertise in SEO, content creation, social media, compliance regulations, and paid advertising.
Harness Wealth
MARCH 14, 2025
Without a secure system in place, firms face the risk of hacked email accounts, lost or misplaced documents, and even compliance violations with the IRS and financial regulations. Taxpayers often find email-based requests confusing and may forget to attach all necessary documents, leading to frustrating back-and-forth communication.
52 
Nerd's Eye View
APRIL 17, 2024
Compliance!), After advisors do all of the work of bringing on a new client (Marketing! Prospecting! Onboarding! it can sometimes feel natural to let the relationship go into "maintenance mode".
246 
Midstream Marketing
OCTOBER 30, 2024
Clear communication is key. Work on better communication and teamwork. Compliance and Ethics in RIA Marketing RIAs manage their clients’ money. Having good compliance policies and procedures is very important. Making personal connections through direct communication helps to build and maintain relationships.
Nerd's Eye View
MAY 28, 2024
So, whether you're interested in learning about merging with a larger firm to achieve operational efficiencies, how to overcome the technical and emotional challenges of selling a firm, or how to develop better client communication skills, then we hope you enjoy this episode of the Financial Advisor Success podcast, with Jenny Martella.
Nerd's Eye View
MAY 28, 2024
So, whether you're interested in learning about merging with a larger firm to achieve operational efficiencies, how to overcome the technical and emotional challenges of selling a firm, or how to develop better client communication skills, then we hope you enjoy this episode of the Financial Advisor Success podcast, with Jenny Martella.
Nerd's Eye View
OCTOBER 17, 2024
In the 149th episode of Kitces & Carl, Michael Kitces and client communication expert Carl Richards discuss the common fears that advisors often face when considering a business partner, explore alternative solutions to address these concerns, and explain when joining forces with another advisor may be a good idea.
130 
Nerd's Eye View
JUNE 4, 2024
In this episode, we talk in-depth about how Freeman used a customized spreadsheet to analyze the financials that ended up favoring operating as an independent RIA rather than under a broker-dealer’s grid and platform fees (in particular the ability to boost long-term profitability by paying expenses as a flat cost rather than as a percentage (..)
130 
Nerd's Eye View
JUNE 4, 2024
In this episode, we talk in-depth about how Freeman used a customized spreadsheet to analyze the financials that ended up favoring operating as an independent RIA rather than under a broker-dealer’s grid and platform fees (in particular the ability to boost long-term profitability by paying expenses as a flat cost rather than as a percentage (..)
130 
Indigo Marketing Agency
JANUARY 25, 2022
But as a financial advisor, how should you communicate with your clients about market volatility? But what’s the best way to communicate about the recent market events? Why You Should Communicate During Volatility. Proactive communication is good client service. Call if they have questions.
Nerd's Eye View
AUGUST 24, 2022
These include the acknowledgment that the adviser has provided required disclosure documents like Forms ADV Part 2A/B and Form CRS (and, importantly, has obtained consent to have those documents delivered electronically), acknowledgment of the client’s responsibilities to provide complete and accurate information needed by the adviser in a timely (..)
242 
NAIFA Advisor Today
APRIL 25, 2024
Richard Dobson is a Certified Financial Planner (CFP) who strives to simplify communication between clients and financial advisors. He is also a NAIFA member and has previously served as a former FINRA Broker Dealer Chief Compliance Officer (CCO). Richard is the author of Make Simplicity Your Superpower! and The Trusted Professional.
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