Compliance Related Topics 
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. Read More.
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.
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Nerd's Eye View
OCTOBER 11, 2023
However, this "Compliance Rule" did not technically require that the annual compliance review of policies and procedures be conducted in writing, even though advisers were required to maintain records if they did document such reviews in writing! the SEC's new marketing rule).
Nerd's Eye View
DECEMBER 17, 2024
What's unique about Fran, though, is how she decided to transition from the independent broker-dealer model to a 'supported independence' corporate RIA platform in order to avoid the compliance headaches involved in being a totally independent RIA while reducing the drag of platform fees on her firm's profitability by finding a platform that wouldn't (..)
Speaker: Abdi Ali, Sr. Lease Accounting Consultant
He will share real-world examples of errors, compliance issues, and risks that may be present within your spreadsheets. Join this insightful webinar with industry expert Abdi Ali, who will discuss the challenges that can arise from managing lease accounting with spreadsheets!
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.
Nerd's Eye View
JUNE 5, 2024
If they want to continue to grow and increase their capacity, they'll need to make several important decisions and address a plethora of legal and compliance requirements not only to avoid potential legal issues but also to ensure that their business will continue to operate smoothly.
Advertiser: G-P
Companies that grow internationally without prioritizing compliance are sure to run into problems. From entity setup, to hiring, financial reporting, and staying on top of changing regulations, compliance plays a key role every step of the way.
Advertiser: G-P
Build and refine your global compliance program to boost speed-to-hire and minimize international growth risks. Every global growth to-do list should begin with compliance. How a strong compliance program can boost recruiting efforts. How to accelerate your global speed-to-hire.
Advertiser: G-P
In today's competitive global marketplace, a well-structured onboarding process not only plays a vital role in welcoming new employees, but it also helps them quickly become a productive, engaged, and loyal part of your global workforce.
Advertiser: G-P
Global compliance: A Global Growth Roadblock. However, companies must be prepared to maintain compliance with in-country legislation. Compliance is a constantly evolving challenge, from the recruiting stage all the way to employee offboarding. The best strategies to maintain compliance during global growth.
Speaker: Rita Keller - President of Keller Advisors, LLC
Profession leaders are urging you to diversify your financial skills and distance yourself from compliance work. You're known as the “go-to” person when a client is faced with tax and financial decisions. You have a very successful firm -- but that’s not enough. For some, the transition will be easy.
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Learn the seven must-have features that you can press vendors to showcase, and discover the secrets to accelerate your time to market while maintaining compliance controls and risk management standards.
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