Indigo Marketing Agency

APRIL 4, 2024

Compliance Considerations for Social Media Content Before sharing any content on social media, take the time to familiarize yourself with regulatory guidelines governing the financial services industry. Regulations such as SEC, FINRA, and FCA impose strict rules on advertising, communications, and disclosures.

Media 52

Media Financial Advisor Compliance Education 52

Brown Advisory

DECEMBER 5, 2023

Yet a whole slew of relevant environmental, social, and governance-related information has been panned by political agendas that are far removed from the purview of investment managers. All of these potential outcomes of a company’s ability to manage its environmental, social, and governance issues should be of interest to investors.

Fiduciary Duty 52

Fiduciary Duty Government Clients Investing 52

Norman Marks

MARCH 7, 2024

Last month, Richard Chambers shared an outstanding article, Audit Committee Chairs Are Loud and Clear: Internal Audit Must Communicate Better. He said he would provide his own comments later on the major points made by the audit committee chairs he interviewed, but I would to add my own here. His very first is that audit […]

Communication 45

Communication Compliance Government 45

Norman Marks

MARCH 7, 2024

Last month, Richard Chambers shared an outstanding article, Audit Committee Chairs Are Loud and Clear: Internal Audit Must Communicate Better. He said he would provide his own comments later on the major points made by the audit committee chairs he interviewed, but I would to add my own here. His very first is that audit […]

Communication 40

Communication Compliance Government 40

Norman Marks

MARCH 7, 2024

Last month, Richard Chambers shared an outstanding article, Audit Committee Chairs Are Loud and Clear: Internal Audit Must Communicate Better. He said he would provide his own comments later on the major points made by the audit committee chairs he interviewed, but I would to add my own here. His very first is that audit […]

Communication 40

Communication Compliance Government 40

Norman Marks

MAY 4, 2023

In their earlier Concept Paper, NIST explained: The NIST Cybersecurity Framework (CSF or Framework) provides guidance to organizations to better understand, manage, reduce, and communicate cybersecurity risks. It is a foundational […]

Communication 49

Communication Planning Management Compliance 49

Brown Advisory

APRIL 20, 2022

Regardless of an entity’s scale, proactively defined audit requirements set mutual expectations for advisor and client alike, helping to ensure efficient and effective goal setting and communication. Confirm the role of your board of directors.

Investment Advisor 52

Investment Advisor Investing Investments Nonprofit 52

Risk Management Guru

AUGUST 12, 2020

Do this by asking plenty of “what if” questions, deciding on a set of automatic kill responses, implementing status metrics, and continually communicating with everyone on all sides of you. This is a surprisingly easy blind spot to fall into because company policies and practices are often convoluted and poorly communicated.

Insurance Coverage 52

Insurance Coverage Compliance Risk Management Communication 52

Carson Wealth

AUGUST 21, 2023

High-tech equipment (computers, communication equipment, semiconductors) production is surging once again, rising more than 7% over the first seven months of this year for a cumulative gain of 20% since February 2020 (pre-pandemic). Production of medium and heavy trucks is also moving up, rising 14% this year.

Marketing 52

Marketing Marketing Economy Retail 52

Sara Grillo

JANUARY 9, 2023

Working with advocacy groups to influence policy, law and governance. Regulators, not just in Colorado but across the country, are seeking ways that there could be greater clarity in the disclosure and communication in the fees that flat fee advisors charge and what they provide. Mentoring younger advisors. Division of Securities.

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

The Big Picture

SEPTEMBER 10, 2024

And so it’s, it’s sort of managing that, all of those different constituents with communication. I mean, if you take out the government spending, you probably are on a recession in a private economy. And that’s your focus on government, both fiscal and monetary support for the economy. And we did.

Valuation 157

Valuation Clients Investing Investments 157

Brown Advisory

SEPTEMBER 12, 2016

managers focused on environmental, social and governance (ESG) factors and the 13.6% Through original sustainability research into stocks and fixed income securities—including diligence into government databases, company transcripts and interviews with executives— we find strengths that are not apparent in standard company reports.

Food 52

Food Executive Compensation Portfolio Management Valuation 52

Brown Advisory

SEPTEMBER 12, 2016

managers focused on environmental, social and governance (ESG) factors and the 13.6% Through original sustainability research into stocks and fixed income securities—including diligence into government databases, company transcripts and interviews with executives— we find strengths that are not apparent in standard company reports.

Food 52

Food Executive Compensation Portfolio Management Valuation 52

Inside Information

OCTOBER 30, 2021

He very quickly offers a disclaimer about the effectiveness of disclosure in the past; whenever a regulator proposes actual rules governing reps and brokers, the industry quickly rushes to propose disclosure instead. . Putting Reg BI aside, what other initiatives is the Institute involved in? Rostad mentions disclosure.

CFP 40

CFP Commission Education Investments 40

Brown Advisory

JANUARY 20, 2023

We work closely with our clients and their outside professional advisors to identify when FBAR filings are required and to help facilitate compliance. FBAR compliance was enforced by the Treasury Department’s Financial Crimes Enforcement Network bureau, or FinCEN until 2003, when enforcement was delegated to the IRS.

Compliance 100

Compliance Accounting Taxes Banking 100

Brown Advisory

JANUARY 20, 2023

We work closely with our clients and their outside professional advisors to identify when FBAR filings are required and to help facilitate compliance. FBAR compliance was enforced by the Treasury Department’s Financial Crimes Enforcement Network bureau, or FinCEN until 2003, when enforcement was delegated to the IRS.

Compliance 52

Compliance Accounting Taxes Banking 52

Indigo Marketing Agency

MAY 5, 2020

Now that you’ve contacted your clients, rebalanced accounts, and communicated your plans, it’s time to think about growing your business during this crisis. John serves on the Government Affairs Committee for the National Association of Plan Advisors. The official governing plan document is behind it.

Retirement 52

Retirement Economics Retirement Planning Financial Planning 52

The Big Picture

JULY 29, 2024

00:10:47 [Speaker Changed] So in the additive services that Orion offers now are financial planning, compliance, CRM services, risk and analysis portfolio construction and advisor portal and investor portal. We wanna be sure that our communications tools leverage large language models so they can be highly personalized.

Clients 144

Clients Portfolio Financial Advisor Investing 144

The Big Picture

AUGUST 15, 2023

RITHOLTZ: But did the oversight, the governance get it? SEIDES: The success of that governance. Let me say what your compliance wouldn’t allow you to say. SEIDES: And I’ll tell you a story that’s fun about the communication of it too. ” It wasn’t that they didn’t communicate that.

Management 130

Management Investments Investing Government 130

The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Compliance 157

Compliance Clients Wealth Management Management 157

The Big Picture

JANUARY 24, 2023

And that’s — it’s a better form of governance because you’re like a family business since you don’t have 90-day reporting. There was XO Communication and McLeod. RITHOLTZ: So I know we’re not going to talk about performance and returns because of the normal compliance headaches.

Investing 260

Investing Investments Numbers Banking 260

Sara Grillo

SEPTEMBER 26, 2022

I think that we do need sales people to sell things, I think sales is just the expression of value, the expression and the communication of value. Salaske: Yeah, I don’t agree with the CFP Board becoming any type of regulator whatsoever over financial advisors, financial planners, whatever you wanna call us in the advice space.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Sara Grillo

FEBRUARY 13, 2023

ESG vocab Before we get into it, let’s start with some basic definitions: ESG: ESG stands for “Environmental, Social, and Governance” and it’s a style of investing that purports (but does not, in reality) save the world from its evils. From a Wall Street Journal Article: The environmental, social, and governance funds’ average fee was 0.2%

Investing 72

Investing Investments Clients Portfolio 72

Carson Wealth

JULY 22, 2024

High-Tech Equipment Production Is Also Surging High tech equipment production (computers, communication equipment, semiconductor chips) rose at an annualized pace of 13% in Q2. This is another area where government spending is boosting the economy, especially from the federal government.

Manufacturing 93

Manufacturing Marketing Marketing Economy 93