Financial Services Needs Compliance Aggregators
Wealth Management
OCTOBER 26, 2023
Compliance has not kept up with the current the dynamic regulatory environment and its multitude of requirements.
Weekend Reading For Financial Planners (May 6-7)
Nerd's Eye View
MAY 5, 2023
Enjoy the current installment of "Weekend Reading For Financial Planners" - this week’s edition kicks off with the news that the House Financial Services Committee unanimously passed a bill that would direct the SEC to conduct a study and carry out a rulemaking on the definition of a "small entity" to reduce the compliance burden on small businesses, (..)
Join 36,000+
Insiders
Sign Up for our Newsletter
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.
Trending Sources
Risk Management in Financial Services During 2023 – 10 Key Highlights
Risk Management Guru
NOVEMBER 20, 2023
As the year 2023 draws to a close, it’s time to reflect on the significant strides made in the realm of Risk Management within the financial services industry. Greater use of data and analytics : Financial services firms are using data and analytics to identify and manage risks more effectively.
Risk Management 
105
105 
Robinhood Crypto Unit Fined $30M by New York Regulator
Wealth Management
AUGUST 2, 2022
The New York State Department of Financial Services alleges Robinhood lacked sufficient staff and resources to ensure compliance with the Bank Secrecy Act and anti-money-laundering rules.
Compliance 130
130 
The Latest In Financial #AdvisorTech (June 2024)
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 (..)
Risk Tolerance 246
246 
#FA Success Ep 289: Coming Together As A Partnership To Serve Your Collective Community, With Kamila Elliott
Nerd's Eye View
JULY 12, 2022
We also talk about why Kamila intentionally shifted her career focus to build an independent practice after years of working with clients and realizing how few looked like her, how despite working hard, Kamila was frustrated she was not receiving the recognition and compensation she felt she deserved and ultimately decided to follow the advice she (..)
Importance of Compliance
Truemind Capital
FEBRUARY 16, 2024
We being a SEBI-regulated entity very well understand the importance of regulatory compliance. There is no denying that following the compliances is time-consuming, expensive, and hinders growth. Even we at Truemind crib sometimes that how much time and costs we have to spend on compliance.
Compliance 59
59 
Why Hiring a Digital Marketing Agency for Financial Services Is the Key to Growing Your Business
Indigo Marketing Agency
FEBRUARY 19, 2025
Why Hiring a Digital Marketing Agency for Financial Services Is the Key to Growing Your Business In the mid-2000s, digital marketing was just one of many mediums local businesses were starting to utilize to growalong with newspaper ads, phone book ads, direct mail ads, radio and TV ads, billboards, door-to-door sales, and more.
5 Benefits of Hiring a Financial Services Marketing Agency
Indigo Marketing Agency
JULY 1, 2024
It needs a personalized, cutting-edge marketing plan, which is where a marketing agency for financial services comes in. At Indigo Marketing Agency, we specialize in creating personalized marketing strategies specific to financial advisors. You can pick the service size that fits your needs and wallet.
When Does A Financial Coach Need To Register As An Investment Adviser? The “ABCS” Test To Determine Status
Nerd's Eye View
DECEMBER 6, 2023
Over the past several years, the financial services industry has undergone a tremendous evolution in how financial advisers deliver and charge for their services. While commission-based models remain in use, fee-for-service models (including AUM, hourly, retainer, and subscription) have become increasingly popular.
Investing 246
246 
Radical Honesty Creates Transparency & Trust
XY Planning Network
JULY 23, 2024
Fortunately, with XYPN membership , you not only benefit from our end-to-end tech, compliance, and support solutions as well as resource, education, and coaching assistance, but you also have the support of what's been ranked our top benefit 3 to 1 in surveys: community.
Fee Only 83
83 
The SEC’s Own Compliance Culture
Inside Information
APRIL 28, 2022
I’m beginning to think the term ‘compliance’ ought to be repurposed. Maybe you see something different, but from where I sit, there is no actual encouragement from federal regulators to go beyond (somewhat grudging) compliance and embrace higher standards. Like fiduciary, for example. It’s awful–and more of the same.
Compliance 40
40 
What Do Financial Adviser Designations Mean? What are the Letters after a Name?
Carson Wealth
JULY 12, 2022
Financial service professionals like Tammy climb a competence stairway to work with clients. In this blog, we’ll break down industry jargon, share what various credentials indicate and explain why the financial services industry is so regulated. . Registration Standards for Financial Advisors.
How Financial Advisors Can Use AI to Free Up Time for More Client-Facing Activities
Don Connelly & Associates
NOVEMBER 18, 2024
We know that AI is rapidly transforming industries, and the financial services sector is no exception. 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.
Regulating Risk: Adapting to the Changing Landscape
Risk Management Guru
NOVEMBER 23, 2023
The regulatory landscape for risk management in financial services is constantly evolving, presenting a formidable challenge for firms and Banks striving to comply and manage their risk profiles effectively. These experts can provide valuable insights, tailored strategies, and hands-on support to ensure compliance and risk mitigation.
Compliance 52
52 
#FA Success Ep 305: Accelerating Growth Of (Fee-Only) Clients By Making It Clear You Have Nothing To Sell, With Mindy Crary
Nerd's Eye View
NOVEMBER 1, 2022
In this episode, we talk in-depth about why Mindy attributes the success of her practice’s structure to the realization that she does not enjoy selling products or investment management (or dealing with compliance that goes with them) and could more efficiently scale with an advice-only approach to one-year financial planning engagements that (..)
Fee Only 130
130 
Marketing to RIAs: Trends & Growth Insights Uncovered
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. Each one provides various services.
Compliance 52
52 
Market Commentary: Things You Don’t See in a Recession
Carson Wealth
DECEMBER 11, 2023
The NASDAQ 100 Index includes publicly-traded companies from most sectors in the global economy, the major exception being financial services. Compliance Case # 02018534_121123_C The post Market Commentary: Things You Don’t See in a Recession appeared first on Carson Wealth.
Marketing 143
143 
AdvisorStream Broadridge Integration: Maximizing Advantages
Midstream Marketing
DECEMBER 7, 2024
The integration provides workflows that are automatic, along with digital marketing and compliance tools. AdvisorStream’s effective compliance tools help make this task simpler. This allows financial consultants to concentrate on their core strengths. This helps the right communications reach clients at the right time.
Compliance 52
52 
Growth Insights: Marketing to RIAs Strategies
Midstream Marketing
NOVEMBER 26, 2024
Key Highlights Learn why marketing to RIAs is vital in todays competitive financial services market. Understand the importance of compliance in marketing for RIAs and explore best practices. These plans focus on using AI to make personalized experiences and run social media for financial services firms.
Compliance 52
52 
Webinar Recap: Highlights From our Enterprise Roundtable ??
AdvicePay
JUNE 22, 2022
Powered by innovative technologies, the financial planning business model is rapidly evolving into a sustainable fee-based revenue stream. The financial services enterprise companies that have already empowered their advisors to implement the latest approaches demonstrate powerful growth and are driving incremental revenues to scale.
Navigating the World of Forefield Advisor Marketing
Midstream Marketing
DECEMBER 26, 2024
Forefield Advisor Marketing is a powerful suite of tools for financial professionals, aimed at enhancing client engagement and driving business growth. This blog post will explore the importance of advisor marketing in todays evolving financial services industry, focusing on strategies for success.
Marketing 52
52 
Best Practices for Using Testimonials in Your Marketing
Indigo Marketing Agency
AUGUST 2, 2021
Leila has 10+ years of experience providing legal and compliance guidance to the financial services industry. She also served as a chief compliance officer (CCO) and general counsel to several multibillion-dollar companies before starting her own RIA compliance firm. The 3 types of reviews every advisor needs.
Compliance 52
52 
How can I be sure my financial advisor isn’t going to steal my money?
Sara Grillo
APRIL 19, 2024
Protect yourself from the financial services industry There are alot of scumbag financial advisors out there. Let me leave you with these final resources to help you find an honest financial advisor who won’t steal your money: #1 If you have any questions as you search for a financial advisors, send me a note.
Weekend Thoughts – SBF, Interest Rates & Jobs
Discipline Funds
OCTOBER 6, 2023
Liars Poker was a book that both excited me about getting into the financial services industry and also made me deeply question the motives of people in the financial services industry. You see, most financial services ponzi schemes start with good intentions.
Unlock Success with a Financial Marketing Consultant
Midstream Marketing
OCTOBER 31, 2024
Key Highlights In today’s online world, businesses in the financial services industry need financial marketing consultants to succeed. These consultants connect complex financial products with the right customers. These experts know the challenges of marketing in financial services.
Consulting 52
52 
Fundamentally strong IT stock jumps 3% after net profit increases by 39% YoY in Q2
Trade Brains
OCTOBER 24, 2024
Share Price Movement In Friday’s trading session, Oracle Financial Services Software’s share price was up by 2.71 What Happened The stock surge was driven by the good results in revenue and net profits reported by Oracle Financial Services Software Ltd for the recent quarter. percent trading at Rs. percent.
Will Bressman Joins the Harness Board of Directors
Harness Wealth
SEPTEMBER 3, 2024
FOR IMMEDIATE RELEASE NEW YORK, NY — September 3, 2024: Harness , a New York-based fintech startup that seeks to make bespoke tax & financial advice accessible to more households, is excited to announce the appointment of Will Bressman to its Board of Directors.
Introducing the security management partner
SEI
SEPTEMBER 13, 2022
In this impact brief, Joseph Krull addresses the state of cybersecurity for financial services and introduces the security management partner concept to bring financial industry precision to financial institution security. Many organizations have used outsourced cybersecurity services, often with mixed results.
Management 52
52 
Market Commentary: Risks Increase, But Don’t Overreact to the Turbulence
Carson Wealth
AUGUST 5, 2024
The NASDAQ 100 Index includes publicly-traded companies from most sectors in the global economy, the major exception being financial services. Compliance Case # 02351667_080524_C The post Market Commentary: Risks Increase, But Don’t Overreact to the Turbulence appeared first on Carson Wealth.
Marketing 141
141 
Market Commentary: Another October Low Forming?
Carson Wealth
OCTOBER 23, 2023
The NASDAQ 100 Index includes publicly-traded companies from most sectors in the global economy, the major exception being financial services. Compliance Case # 01945554 _102323_C The post Market Commentary: Another October Low Forming? appeared first on Carson Wealth.
Marketing 143
143 
12 Best Paying Jobs in Finance in 2023
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. Employment numbers for Financial Managers are expected to rise by 17% over the next decade, faster than the average for all occupations. Chief Compliance Officer. Financial Examiner.
Budgeting 88
88 
Market Commentary: Another October Bottom?
Carson Wealth
OCTOBER 9, 2023
The NASDAQ 100 Index includes publicly-traded companies from most sectors in the global economy, the major exception being financial services. Compliance Case # 01928848_100923_C The post Market Commentary: Another October Bottom? A diversified portfolio does not assure a profit or protect against loss in a declining market.
Marketing 134
134 
Market Commentary: The Summer Rally Continues Amid Strong Job Gains
Carson Wealth
JUNE 10, 2024
The NASDAQ 100 Index includes publicly-traded companies from most sectors in the global economy, the major exception being financial services. Compliance Case # 02272734_061024_C The post Market Commentary: The Summer Rally Continues Amid Strong Job Gains appeared first on Carson Wealth.
Marketing 143
143 
Sandy Ewing to Lead SEI’s Family Office and Regulatory Services
SEI
AUGUST 17, 2022
17, 2022 – SEI ® (NASDAQ: SEIC) today announced that Executive Vice President Sandy Ewing has been appointed to lead the company’s Family Office and Regulatory Services, where she will work with SEI’s business segment leaders to advance business opportunities and execute growth strategies for these offerings in existing and new markets.
Top Indian Stocks Held By JP Morgan – Portfolio Analysis!
Trade Brains
SEPTEMBER 22, 2023
Operating Profit Margin (%) 18 Healthcare, retail, aerospace and defence, government, banking and financial services, engineering and construction, oil and gas, retail, travel and transportation, media, education, the automobile industry, and consumer electronics are just a few of the sectors Wipro supports. Stock P/E (%) 19.53
Financial Advisor Marketing Companies: Top 10 Companies To Work With In 2020
Indigo Marketing Agency
DECEMBER 18, 2019
That’s why top advisors outsource their marketing to proven professionals that understand our industry and compliance. . But which marketing companies for financial advisors will help you grow your assets under management (AUM) and which are a waste of money? Twenty Over Ten is a website platform built for the modern financial advisor.
Market Commentary: Reasons To Be Thankful
Carson Wealth
NOVEMBER 27, 2023
The NASDAQ 100 Index includes publicly-traded companies from most sectors in the global economy, the major exception being financial services. Compliance Case # 01997363_112723_C The post Market Commentary: Reasons To Be Thankful appeared first on Carson Wealth.
Marketing 96
96 
Market Commentary: Up and Down Week Leaves the S&P 500 Near Flat
Carson Wealth
AUGUST 12, 2024
The NASDAQ 100 Index includes publicly-traded companies from most sectors in the global economy, the major exception being financial services. Compliance Case # 02362252_081224_C The post Market Commentary: Up and Down Week Leaves the S&P 500 Near Flat appeared first on Carson Wealth.
Marketing 95
95 
The Comprehensive Handbook for Digital Marketing for RIAs
Midstream Marketing
DECEMBER 6, 2024
Digital Landscape for RIAs Digital marketing is changing the financial services world. Clients now want financial advice online. It is crucial to follow SEC rules because the laws for advertising in financial services are strict. Financial products can be complex as well. A lot of clients use these devices.
Marketing 52
52 
How to sniff out a lying grifter in a Form ADV
Sara Grillo
OCTOBER 31, 2022
Salaske, Chief Executive Officer and Chief Compliance Officer is Firstmetric’s principal owner and is the sole Member and Manager of Firstmetric, LLC.” I periodically blog about financial products and services so that consumers can avoid being taken advantage of by the financial services industry.
Market Commentary: ‘Tis the Season — Five Things to Know About Markets in December
Carson Wealth
DECEMBER 2, 2024
The NASDAQ 100 Index includes publicly-traded companies from most sectors in the global economy, the major exception being financial services. Compliance Case # 02531673_120224_C The post Market Commentary: ‘Tis the Season — Five Things to Know About Markets in December appeared first on Carson Wealth.
Marketing 75
75 
KFin Technologies IPO Review – Strengths, Weaknesses & More
Trade Brains
DECEMBER 15, 2022
KFin Technologies Limited, incorporated in 2017, is a leading technology-driven financial services platform. The company provides comprehensive services and solutions to the capital markets ecosystem including asset managers and corporate issuers across asset classes in India. Keep reading to find out!
Compliance 52
52 
Market Commentary: More Seasonal Choppiness
Carson Wealth
SEPTEMBER 18, 2023
The NASDAQ 100 Index includes publicly-traded companies from most sectors in the global economy, the major exception being financial services. Compliance Case # 01904404_091823_C The post Market Commentary: More Seasonal Choppiness appeared first on Carson Wealth.
Marketing 96
96 
Let's personalize your content