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. Next , by taking a proactive approach to reinforcing where they add value (e.g.,

Financial Advising 246

Financial Advising Compliance Advertising Marketing 246

Abnormal Returns

MAY 31, 2024

open.spotify.com) Stephen Clapham talks sustainability with Carine Smith Ihenacho is Chief Governance and Compliance Officer at Norges Bank, the Norwegian Sovereign Wealth Fund. (flirtingwithmodels.com) John Reeder talks with David Orr about playing poker and shorting value traps.

Compliance 263

Compliance Economy Government Banking 263

The Big Picture

AUGUST 26, 2022

I reminded him that the Buy-side is regulated by the SEC, while the Sell-side is self-governed by an SRO. 1 In fact, the history of the NASD-R is one of an industry working hard to prevent close oversight by the government and to protect the largest of its members.

Accounting 353

Accounting Government Assets Management 353

Norman Marks

FEBRUARY 5, 2024

A few years ago, my friend Dr. Rainer Lenz started talking about the internal auditor as the “gardener of governance”. In an article in EDPACS, Rainer explained (with my emphasis): Governance has been central to what internal auditing has been aspiring to do for a long time.

Government 110

Government Compliance 110

Nerd's Eye View

SEPTEMBER 6, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that the Treasury Department has finalized rules requiring most SEC-registered RIAs to implement risk-based Anti-Money Laundering and Countering the Financing of Terrorism programs, including a requirement to report suspicious (..)

Financial Planner 246

Financial Planner Tax Planning Compliance Financial Advice 246

Nerd's Eye View

NOVEMBER 2, 2022

In the United States, Registered Investment Advisers (RIAs) are required to register in one of 2 ways: with the Federal government (namely the SEC) or with one (or more) state securities regulatory agencies.

Compliance 130

Compliance Investments Investing Government 130

Nerd's Eye View

AUGUST 4, 2023

government's creditworthiness from an AAA rating to AA+. Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that credit ratings agency Fitch on Tuesday downgraded its assessment of the U.S.

Financial Planner 246

Financial Planner Retirement Planning Compliance Retirement 246

The Big Picture

APRIL 23, 2023

Narratively ) • How a Brazen Plot to Rig Oil Auctions Cost Venezuela Billions : America’s best-known lawyer, a couple of fraudsters and a pariah government joined forces to sue the world’s largest commodities trading firms. I made millions once I realized how desperate we humans are for someone who will actually listen.

Nonprofit 310

Nonprofit Consulting Compliance Banking 310

Carson Wealth

JANUARY 28, 2025

Governance risk. Governance risk events include conflicts of interest, poorly designed or inappropriate organizational structures, and inexperienced boards. These regulations may cover fundraising, reporting, or governance. Reputational risk refers to events that could cause a foundation or donor to lose face.

Risk Management 52

Risk Management Management Nonprofit Compliance 52

Carson Wealth

MARCH 10, 2025

About 49% of jobs created in February were in health care and social assistance (+63,000) and government (+11,000). State/local government employment is almost 8-9 times larger than at the federal level.) The support from non-cyclical areas of the economy in February continues a theme weve seen over the past six months to a year.

Marketing 73

Marketing Marketing Economy Government 73

Trade Brains

NOVEMBER 21, 2023

In 2023, the RBI imposed monetary penalties on eight government banks, adding up to Rs. Keep reading to find out which government banks were penalized, the fines imposed, and the reasons behind the penalties! The post 8 Major Government Banks Received Penalties by RBI in 2023 – Check the details!

Government 59

Government Banking Compliance Accounting 59

Norman Marks

JULY 1, 2024

Today’s post is an admittedly long one because the risk of non-compliance is a serious matter. But it shouldn’t be addressed in isolation because resources don’t grow on trees, you can’t eliminate it, and evaluating whether the level of risk is acceptable is a challenge. I explain my thoughts by sharing my own experiences. = […]

Compliance 45

Compliance Government 45

Carson Wealth

MARCH 3, 2025

Household consumption: 68% of GDP Nonresidential (business) investment: 14% Residential investment (housing): 4% Net exports (exports minus imports): -3% Federal government spending: 6% State/local government spending: 11% Net exports are negative because the US imports more than it exports (a lot more). pp Housing: +0.06

Marketing 70

Marketing Marketing Government Economy 70

Harness Wealth

FEBRUARY 5, 2025

However, the FTC has restrictions on eligible taxes and the maximum claim amount: Eligible taxes : Only income taxes (or taxes in lieu of income taxes) paid to foreign governments are eligible. Maintaining accurate records of foreign income and taxes paid is therefore vital to calculating the correct FTC and maintaining tax compliance.

Taxes 52

Taxes Compliance Accounting Government 52

Norman Marks

JULY 25, 2022

My thanks to Alex Sidorenko, who recently wrote about The Directors and Chief Risk Officers Group (DCRO) on his blog in Companies need intelligent risk-taking to survive according to DCRO Institute. I really like the shift from talking about risk management to risk-taking.

Government 58

Government Risk Management Management Compliance 58

Nerd's Eye View

DECEMBER 6, 2023

Nevertheless, the 'securities' component of the definition has several nuanced exceptions.

Investing 246

Investing Investments Retirement Planning Financial Advising 246

Norman Marks

NOVEMBER 30, 2023

2110 – Governance The internal audit activity must assess and make appropriate recommendations to improve the organization’s governance processes. One of the significant changes in the draft Global Internal Audit Standards (GIAS) is the removal of these “must” statements.

Government 45

Government Compliance 45

Nerd's Eye View

AUGUST 17, 2022

Advisory agreements for SEC-registered RIAs are governed by Section 205 of the Investment Advisers Act of 1940. million under the management of the adviser, or with a total net worth of at least $2.2

Clients 246

Clients Assets Financial Planning Management 246

Harness Wealth

MARCH 27, 2025

Due diligence involves the following: Identifying potential tax risks: Its important to review the target fund’s tax returns, partnership agreements, and other relevant documents to identify any potential tax liabilities or compliance issues. The role of technology: Technology is increasingly the foundation of efficient tax compliance.

Taxes 52

Taxes Tax Planning Assets Compliance 52

Nerd's Eye View

AUGUST 17, 2022

Advisory agreements for SEC-registered RIAs are governed by Section 205 of the Investment Advisers Act of 1940. million under the management of the adviser, or with a total net worth of at least $2.2

Clients 229

Clients Assets Financial Planning Management 229

Carson Wealth

APRIL 29, 2024

A closer look at GDP data reveals five major components: Household consumption Investment — nonresidential and residential Government spending Change in private inventories Net exports (exports minus imports) The last two — private inventories and net exports — tend to be the most volatile segments of GDP growth. in the first quarter.

Marketing 96

Marketing Marketing Economy Government 96

Harness Wealth

FEBRUARY 19, 2025

The federal government has appealed this second injunction, indicating its intention to reinstate CTA requirements. BOI collects business information to then issue reports that are stored in a secure, non-public database accessible only to authorized government agencies, law enforcement, and certain financial institutions.

Taxes 52

Taxes Financial Advisor Consulting Certification 52

Carson Wealth

OCTOBER 30, 2023

Consumer services and government spending are likely to remain strong contributors to growth in the final quarter of the year. government pushing more fiscal stimulus into the economy, inflation in the U.S. State and local government spending makes up 11% of the economy, which is significant. The inflation trajectory in the U.S.

Marketing 96

Marketing Marketing Economy Government 96

Carson Wealth

SEPTEMBER 11, 2023

government debt, and thus the biggest beneficiary of higher rates. Government Debt? government has about $32 trillion in outstanding debt. That’s a massive liability for the government. private sector now holds the largest share of government debt since the late 1990s. private sector is the largest holder of U.S.

Marketing 92

Marketing Marketing Government Economy 92

Norman Marks

AUGUST 17, 2022

A fact: most companies have included far too many IT General Controls (ITGC) in their scope for SOX. Why: because they have taken an approach to scoping ITGC that is disconnected from the top-down and risk-based approach used to identify key controls within business processes. The scoping of ITGC has resulted in including ITGC controls […].

Compliance 68

Compliance Government 68

Good Financial Cents

DECEMBER 14, 2022

They may work in various industries, such as investment firms, accounting firms, banks, or the government. Chief Compliance Officer. A chief compliance officer ensures financial institutions adhere to all applicable laws and regulations. Budget analysts typically work in the government or for accounting firms.

Budgeting 88

Budgeting Compliance Accounting Insurance 88

Discipline Funds

OCTOBER 6, 2023

This kills me because the lack of compliance is so egregious that it’s inexcusable. They were negligent about compliance and commingling of funds. The doomers say that “bond vigilantes” are driving up interest rates because the US government is insolvent and they’re forcing rates up.

Financial Services 77

Financial Services Compliance Government Economy 77

Carson Wealth

OCTOBER 9, 2023

A large part of the growth was government jobs (+73,000), but even the private sector created 263,000 jobs. In short, the economy has strong momentum going into the fourth quarter, especially amid myriad concerns, all of which we have written about ( strikes , student loan payment restart , government shutdown ).

Marketing 133

Marketing Marketing Economy Government 133

Norman Marks

JULY 21, 2023

Anthony Pugliese (President and CEO of the IIA) said in a recent webinar that GRC stands for Governance, Risk Management, and Compliance-slash-Control. I am sure he said that because the IIA has the C meaning Control while the rest of the universe has C for Compliance. This is just one of the reasons that I […]

Compliance 40

Compliance Risk Management Government Management 40

Nerd's Eye View

OCTOBER 19, 2022

In the United States, Registered Investment Advisers (RIAs) are required to register in one of 2 ways: with the Federal government (namely the SEC) or with one or more state securities regulatory agencies.

Clients 130

Clients Government Startup Numbers 130

MarketWatch

MARCH 27, 2023

Binance, the world’s largest crypto exchange, was sued by the Commodity Futures Trading Commission Monday for alleged violations of the federal laws governing commodities markets. clients in evading compliance controls and instructing customers to obscure their location using virtual private networks, or VPNs. law” by assisting U.S.

Compliance 52

Compliance Commission Government Clients 52

Risk Management Guru

SEPTEMBER 27, 2021

Episodes will feature topics such as: risk management, cyber security, credit risk, market risk, governance, fintech, regtech, risk and compliance, AML, fraud and other related topics. Source: Risk Management Show. The post Risk Management Podcasts appeared first on Risk Management Guru.

Risk Management 52

Risk Management Management Compliance Government 52

Carson Wealth

DECEMBER 9, 2024

Its Not All Rosy Despite the healthy look on the payroll side, which comes from the governments survey of businesses, things are less than picture perfect when you look at the household survey. Compliance Case # 02542778_120924_C The post Market Commentary: Stocks Hit New Highs Amid a Year of Milestones appeared first on Carson Wealth.

Marketing 62

Marketing Marketing Economy Manufacturing 62

Trade Brains

SEPTEMBER 17, 2023

The company has established itself in 3 business verticals, Consulting : Environment Impact Assessment, ESG and Climate Change, Environmental Compliance, Environmental Due Diligence, DPR and designing, Training and sensitization, Environmental crime investigation.

Consulting 59

Consulting Government Compliance Clients 59

Risk Management Guru

NOVEMBER 23, 2023

This proliferation of regulatory requirements has significantly impacted the ability of Banks and fianncial services firms to stay abreast of the latest developments and ensure compliance. This program should encompass training programs for employees, monitoring mechanisms, and auditing procedures to proactively address compliance gaps.

Compliance 52

Compliance Risk Management Financial Services Management 52

Carson Wealth

AUGUST 5, 2024

Healthcare and government, which had dominated prior reports, showed less of an impact in July. 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

Marketing Marketing Economy Numbers 141

Trade Brains

FEBRUARY 28, 2024

The Company has been investing in the creation of a responsible AI that emphasizes responsibility, security, and compliance. The platform operates on a fully governed framework, incorporating Process Governance, API Governance, and Model Governance (MLOps) within its foundation. 6484 Cr in FY22 to Rs.

Engineering 100

Engineering Government B2B Clients 100