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Communication Compliance Management 
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.
262 
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.
304
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Book of Secrets on the Month-End Close
What Your Financial Statements Are Telling You—And How to Listen!
Are Robots Replacing You? Keeping Humans in the Loop in Automated Environments
Data Talks, CFOs Listen: Why Analytics Is The Key To Better Spend Management
Wealth Management
SEPTEMBER 26, 2024
Once complete and available, the Intelligent Agent should help relieve the burden of manual communications review on compliance officers.
249 
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 
Wealth Management
OCTOBER 31, 2023
The modern workplace requires financial firms to move with the times.
286 
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
MARCH 24, 2025
A few key principles can make the onboarding process smoother for both the associate advisor and their manager. First, clarity: both the advisor and manager should be able to clearly define the core financial planning skills that a new hire is expected to develop in their first year. building an initial financial plan). Read More.
130 
Nerd's Eye View
AUGUST 28, 2024
Historically, advisors haven't had many avenues to manage clients' 401(k) plan accounts, since unlike traditional custodial investment accounts, advisors generally lack discretionary trading authority in employer-sponsored retirement plans.
246 
Nerd's Eye View
AUGUST 28, 2024
Historically, advisors haven't had many avenues to manage clients' 401(k) plan accounts, since unlike traditional custodial investment accounts, advisors generally lack discretionary trading authority in employer-sponsored retirement plans.
245 
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 
Abnormal Returns
JULY 22, 2024
Podcasts Daniel Crosby talks practice management with Matt Ackermann, Chief Content Officer at Integrated Partners. 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.
264 
The Big Picture
MAY 20, 2023
The firm manages about $145 billion in client assets and is the world’s largest publicly traded hedge fund. Previously she was COO, General Counsel, Chief Administrative Officer, and Global Head of Legal and Compliance. 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 
Carson Wealth
JANUARY 28, 2025
Identifying and Managing Financial Risks in Philanthropy There is one other step thats equally important. 1] So, its essential to integrate strong risk management practices into your philanthropic activities. Like portfolio management, there is a spectrum of risk appetite, and you need to consider where you are comfortable.
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 
BlueMind
JULY 15, 2022
Category: Compliance. The Significance Of Financial Compliance Financial compliance requires all actions, procedures, guidelines, and business culture to abide by the rules and regulations set by the regulatory authorities of the financial market. Related: Compliance and Automation – An Ideal Unison!
98 
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 
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) FutureAdvisor has transferred all its clients to Ritholtz Wealth Management. citywire.com) Compliance Why compliance needs to embrace technology and become nimbler.
147 
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. In the meantime, if you (or anyone else you know) wants to join our Team of Nerds, stay tuned for more openings in 2024, including the Managing Editor role (available now!),
239 
Don Connelly & Associates
NOVEMBER 18, 2024
Financial advisors are often overwhelmed by managing multiple tasks at once, especially when much of their time is consumed by administrative and back-office duties.
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 
Midstream Marketing
NOVEMBER 26, 2024
Introduction In the busy world of financial services, asset managers and Registered Investment Advisors (RIAs) require solid marketing strategies to succeed. These methods include using technology, content marketing, and strategies that follow compliance rules. This includes using content marketing and sticking to compliance rules.
52 
Carson Wealth
MARCH 27, 2025
By making this decision now, you can ensure that someone you trust is acting in your best interests if, for whatever reason, you are unable manage your own affairs. A medical POA can help ensure that healthcare decisions are based on your choices and preferences, even if you cant communicate them yourself. Manage any property you own.
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
MAY 28, 2024
Jenny is a Principal and Wealth Manager at Modera Wealth Management, an RIA based in Westwood, New Jersey, that oversees $12.5 billion in assets under management for approximately 4,700 client households. Welcome to the 387th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Jenny Martella.
Nerd's Eye View
MAY 28, 2024
Jenny is a Principal and Wealth Manager at Modera Wealth Management, an RIA based in Westwood, New Jersey, that oversees $12.5 billion in assets under management for approximately 4,700 client households. Welcome to the 387th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Jenny Martella.
Indigo Marketing Agency
FEBRUARY 19, 2025
Of course, this is a scenario that leaves zero time to actually serve financial practice clients and manage their money! Strict regulations and compliance requirements often limit how financial companies can promote their services, making it essential to navigate these rules carefully.
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. Customer relationship management (CRM) systems are important for this. This shows social proof.
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. Read More.
130 
Nerd's Eye View
JUNE 4, 2024
Freeman is the Co-Founder of La Crosse Financial Planning, an RIA based in La Crosse, Wisconsin, that oversees nearly $50 million in assets under management (AUM) for 73 client households. My guest on today's podcast is Freeman Linde.
130 
Nerd's Eye View
JUNE 4, 2024
Freeman is the Co-Founder of La Crosse Financial Planning, an RIA based in La Crosse, Wisconsin, that oversees nearly $50 million in assets under management (AUM) for 73 client households. My guest on today's podcast is Freeman Linde.
130 
Nerd's Eye View
AUGUST 24, 2022
In his latest article for the Nerd’s Eye View blog, Chris Stanley, investment management attorney and Founding Principal of Beach Street Legal, laid out the statutory requirements for RIA advisory agreements and what to include in the agreement when describing the RIA’s services and fees.
242 
Nerd's Eye View
AUGUST 24, 2022
In his latest article for the Nerd’s Eye View blog, Chris Stanley, investment management attorney and Founding Principal of Beach Street Legal, laid out the statutory requirements for RIA advisory agreements and what to include in the agreement when describing the RIA’s services and fees.
238 
Midstream Marketing
OCTOBER 31, 2024
They manage all parts of marketing. Compliance and Regulatory Advertising Standards The financial services industry has many rules. They help financial institutions feel secure by focusing on risk management. Choose a consultant who values clear communication. Businesses must follow these advertising rules.
52 
Steve Sanduski
MARCH 26, 2025
On today’s show, Dennis Morton and Katie Brown share their intentional approach to building and managing their firm, including defining their brand DNA, targeting ideal clients, and complementing each other’s individual leadership strengths. . But I think our roles probably started to overlap and merge together.
Steve Sanduski
OCTOBER 27, 2024
By implementing effective systems, financial advisors can ensure that they are managing their practices in the most efficient way possible. Some of the benefits firms experience when integrating system are: Time Management: Systematizing your firm significantly improves time management by streamlining routine tasks and processes.
64 
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.
Midstream Marketing
DECEMBER 10, 2024
Including video marketing in your plan can improve communication with clients. By developing a strong unique value proposition and changing how you communicate and adjusting your services to fit their needs, you will create stronger bonds and gain their trust. They have unique needs and ways of communication.
Good Financial Cents
DECEMBER 14, 2022
After all, people will always need financial services, whether investing their money , taking out loans, or managing their taxes. The CFO role is multi-faceted and includes everything from financial planning and analysis to business budgeting, financial decision-making, and risk management. Financial Manager.
88 
International College of Financial Planning
MARCH 31, 2023
Wealth management is an important aspect of the financial world that focuses on managing wealth to help individuals and families achieve their financial goals. Wealth management involves a range of financial services as an investment, finance, real estate, tax, and risk management.
Midstream Marketing
DECEMBER 6, 2024
Scheduling tools, like Hootsuite, can help you manage your social media accounts. Compliance and Security for RIAs Compliance and data security matter a lot in the financial services industry. By focusing on compliance and security, you can earn your clients trust. They like communication that is tailored just for them.
52 
Indigo Marketing Agency
SEPTEMBER 28, 2024
The problem with this approach is that it often lacks a cohesive strategy and doesn’t communicate the specific value of the advisor posting it. Personalize Your Outreach Instead of sending out generic messages, take the time to personalize your communications. How can financial advisors measure the ROI of their social media efforts?
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