Nerd's Eye View

JULY 8, 2024

Yet the need for advisor education – and the regulatory requirements to get it (in the form of Continuing Education obligations) – never ends, with the latest focus for most financial advisors being on the ongoing expansion of NASAA's 2020 Model Rule that implemented the first Investment Advisor Representative (IAR) requirements to get (..)

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Ethics Education Financial Advice Taxes 239

International College of Financial Planning

JUNE 14, 2023

Are you passionate about investments? If so, you can turn your passion into a profession by becoming a SEBI-registered investment advisor. SEBI has introduced guidelines for individuals aspiring to become investment advisors in India. This blog post will provide all the necessary information on this topic.

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Diamond Consultants

FEBRUARY 11, 2025

All that said, how is an advisor to know if this model is right for them, let alone which platform or firm within the channel might be the best fit? Firms typically follow one of two models: Shared ADV In this model, advisors join the firms existing RIA as 1099 independent contractors or Investment Advisor Representatives (IARs).

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Compliance Clients Management Investing 52

XY Planning Network

DECEMBER 11, 2023

Unless your firm is registered with the SEC, your business is likely subject to the Beneficial Ownership Information (BOI) reporting requirements under the Corporate Transparency Act. This post dives into key details and what you need to know as we head towards 2024 to ensure you’re compliant.

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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.

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Compliance Fiduciary Duty Investment Advisor Financial Services 40

Brown Advisory

APRIL 20, 2022

Good Preparation Leads to a Good Audit Experience: What to Expect from Your Investment Advisor mhannan Wed, 04/20/2022 - 06:03 After an extended period of strong returns that began in 2009, many not-for-profit (NFP) organizations find themselves increasingly challenged to earn the traditional target of an inflation-adjusted 5% annual spending rate.

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Midstream Marketing

JANUARY 19, 2025

One of the biggest challenges that most investment advisors face involves not just getting found online via search engines like Google, but getting found by the right audience at the right time – meaning a local one. A lot has changed even in the 40 years since the Investment Advisor’s Act was last amended.

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Advertising Marketing Marketing Investment Advisor 40

Indigo Marketing Agency

SEPTEMBER 6, 2022

We’re happy to announce that Indigo Marketing Agency was featured in Bob Veres’s August 2022 issue of Inside Information , a go-to resource for financial planning, financial advisor, and investment advisor professionals. Our Testimonial Program helps our advisor clients get glowing client reviews online AND remain compliant.

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Marketing Marketing Financial Advisor Compliance 97

Midstream Marketing

NOVEMBER 26, 2024

Understand the importance of compliance in marketing for RIAs and explore best practices. Introduction In the fast-changing world of financial services, marketing to RIAs plays a significant role in helping Registered Investment Advisors (RIAs) succeed. When these advisors create clear plans, they can stand out more easily.

Compliance 52

Compliance Marketing Marketing Investment Advisor 52

XY Planning Network

JUNE 13, 2022

Outside managers offer affordable investment management services for smaller accounts and can be a wonderful option for advisors and their clients, just keep in mind that leveraging an outside manager comes along with some regulatory considerations and compliance to-dos.

Management 52

Management Investments Investing Compliance 52

Trade Brains

NOVEMBER 4, 2024

They are responsible for managing the entire IPO process which includes pricing, marketing, and ensuring compliance with regulatory requirements. Investors must therefore exercise due caution while investing or trading in stocks. Please consult your investment advisor before investing. Morgan India Private Limited.

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Healthcare Clients Insurance Management 52

Indigo Marketing Agency

AUGUST 2, 2021

The 3 types of reviews every advisor needs. 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.

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Compliance Marketing Marketing Financial Services 52

Diamond Consultants

AUGUST 9, 2022

The notion of taking on the task of managing compliance, technology, HR, and finance is often what stops advisors from going independent. Plus, these platforms don’t just provide support at launch; they also offer ongoing operational, compliance, marketing, and practice management support to optimize the business for growth.

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Compliance Recruitment Clients Retirement 59

Sara Grillo

OCTOBER 21, 2022

RIA firm – a Registered Investment Advisor firm registered with either the SEC or state regulators. An RIA firm’s financial advisors must follow the fiduciary standard which is believed to be the highest standard of care in the industry. For advise on such matters, contact a legal or compliance advisor.

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Insurance Financial Planner Fee Only Financial Advisor 98

Trade Brains

OCTOBER 29, 2024

The company focuses on delivering customized software solutions which include core banking systems and compliance tools. Written by – Santhosh S Disclaimer The views and investment tips expressed by investment experts/broking houses/rating agencies on tradebrains.in Please consult your investment advisor before investing.

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Banking Compliance Sales Financial Services 52

Walkner Condon Financial Advisors

APRIL 17, 2023

The suitability standard requires brokers and investment advisors to recommend investments that are suitable for the client. We may recommend specific investment strategies, and the custodian will execute the trades and ensure compliance with regulatory requirements.

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Trade Brains

OCTOBER 18, 2024

Despite its growth, the Indian investment sector faces several challenges going forward. Regulatory compliance costs continue to rise. In 2024, financial crime compliance alone cost Indian financial institutions ₹5.1 Investors must therefore exercise due caution while investing or trading in stocks. lakh crore.

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Banking Economics Investments Investing 52

Trade Brains

NOVEMBER 5, 2024

Despite challenges such as raw material cost, regulatory compliance and competition they are well positioned through strategic adaptions through technology advancements. Written by Santhosh S Disclaimer The views and investment tips expressed by investment experts/broking houses/rating agencies on tradebrains.in

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Engineering Manufacturing Compliance Investment Advisor 52

Walkner Condon Financial Advisors

APRIL 21, 2023

The suitability standard requires brokers and investment advisors to recommend investments that are suitable for the client. We may recommend specific investment strategies, and the custodian will execute the trades and ensure compliance with regulatory requirements.

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Certified Financial Planner Financial Advisor Fee Only Financial Planner 52

Trade Brains

OCTOBER 30, 2024

Furthermore, this achievement validates the company’s strategy of focusing on compliance-driven industries that require robust security solutions. Investors must therefore exercise due caution while investing or trading in stocks. Please consult your investment advisor before investing.

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Compliance Commission Investment Advisor Consulting 52

Ron A. Rhodes

MAY 5, 2023

In the design and management of investment portfolios, both brokers (under Reg BI) and investment advisors (as fiduciaries) possess a duty of due care. This includes undertaking sufficient due diligence…

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Investment Advisor Investments Investing Portfolio 46

Trade Brains

OCTOBER 24, 2024

The company specializes in software for retail, corporate, and investment banking, along with consulting and outsourcing services. As a subsidiary of Oracle Corporation, it supports over 900 clients globally, enhancing their operational efficiency and compliance. Please consult your investment advisor before investing.

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Financial Services Banking Consulting License 52

Trade Brains

OCTOBER 23, 2024

In compliance with insider trading regulations, the company has implemented a trading window closure from October 23 to November 17, 2024. Written By Fazal Ul Vahab Disclaimer The views and investment tips expressed by investment experts/broking houses/rating agencies on tradebrains.in appeared first on Trade Brains.

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B2B Manufacturing Distribution Compliance 52

Midstream Marketing

MARCH 21, 2023

This could be a potential goldmine for scheduling consultations with quality prospects ready to talk to an advisor. Can independent registered investment advisors get into the Google Local Pack? The deadline for embracing the new SEC rules is this November, so I suggest all RIAs to start pivoting now.

Financial Advisor 52

Financial Advisor Investment Advisor Consulting Advertising 52

Sara Grillo

MARCH 22, 2024

Devin Faddoul www.addafinancial.com Flat fee advisor in Pittsburgh Texas Allen Mueller www.7saturdaysfinancial.com 7saturdaysfinancial.com Flat-fee planning (ongoing or one-time) with optional investment management. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

Financial Planning 52

Financial Planning Fee Only Financial Planner Financial Advisor 52

Ballast Advisors

JUNE 18, 2024

It’s crucial to understand the tax laws of each jurisdiction to ensure compliance. Ballast Advisors, LLC is a registered investment advisor under the Investment Advisers Act of 1940, as amended. This can include federal, state/provincial, and local taxes.

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Insurance Coverage Management Insurance Taxes 52

Ballast Advisors

JUNE 18, 2024

It’s crucial to understand the tax laws of each jurisdiction to ensure compliance. Ballast Advisors, LLC is a registered investment advisor under the Investment Advisers Act of 1940, as amended. This can include federal, state/provincial, and local taxes.

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Insurance Coverage Insurance Taxes Financial Planning 52

Sara Grillo

MARCH 13, 2023

Phil holds the Chartered Alternative Investment Analyst (CAIA) designation and is the host of The ETF Experience and the Phil Bak Podcast. nationally recognized as the first investment advisor to offer only Exchange Traded Funds. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

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Financial Advisor Assets Management License 59

WiserAdvisor

MARCH 13, 2024

Therefore, it is essential to understand the withdrawal requirements and plan accordingly to ensure compliance while optimizing income generation. As a Registered Investment Advisor (RIA) firm with the SEC, they are fiduciaries who put clients’ interests ahead of everything else.

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Retirement Planning Retirement Planning Estate Planning 105

Sara Grillo

JANUARY 9, 2023

What are the changes in Colorado investment advisor regulations regarding financial planning? The opinions expressed herein do not necessarily represent the views of Sara Grillo or Grillo Investment Management, LLC. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

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Financial Planning Planning Financial Planner CFP 52

FMG

FEBRUARY 3, 2023

It seems that if an advisor has no control over the content of the third-party review, the reviewer is not compensated in any way, the advisor publishes all reviews, positive and negative, and refrains from promotion on the pages where such testimonials appear, then the advisor will be in compliance.

Financial Services 52

Financial Services Media Accounting Financial Advisor 52

Sara Grillo

DECEMBER 12, 2022

With over thirty years of financial services experience, Mike is an independent financial professional helping individuals and small business owners in providing unbiased insurance and investment strategies. The opinions expressed herein do not necessarily represent the views of Sara Grillo or Grillo Investment Management, LLC.

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Financial Advisor Commission Clients Insurance 52

The Big Picture

DECEMBER 6, 2022

But when you factor in, you know, legal costs, compliance, portfolio management, trading, there is a lot that goes into launching an ETF. You’re suggesting that’s the money-loser for that company? BERRUGA: Yeah. I mean, I always say it depends on the economies or the scale of the business that you are considering.

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The Big Picture

FEBRUARY 6, 2024

The, you know, one of the things I think when, when I started at GMO, it was really just investment people almost. And ev all the sort of compliance, client service, legal, kind of, everything was done sort of on the side by investment people. So it’s a, it’s a global firm. So that’s where we get into trouble.

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Valuation Investing Investments Assets 130

Brown Advisory

NOVEMBER 12, 2015

As always, we recommend that you consult your tax and investment advisors to determine what, if any, actions you should take before the end of the year to minimize your tax burden this year and in the future. Circular 230 Compliance Statement. In compliance with those regulations, we must inform you that: 1. Conclusion.

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Planning Taxes Distribution Medical 52

Inside Information

OCTOBER 30, 2021

“If we could actually focus on plain language,” he says, “and say: this is what the business and the practices of broker-dealers are, and this is what the business and practices of investment advisors are , then I believe investors would understand it perfectly well.

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CFP Commission Investments Investing 40

Indigo Marketing Agency

APRIL 23, 2020

I’m a former investment advisor representative with LPL Financial. I have a degree in economics, an MBA in marketing, I’m a lecturer at UCLA extension, and at Indigo marketing we work with 165 top independent financial advisors to do their marketing for them. I recommend using Calendly.

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