Nerd's Eye View
DECEMBER 17, 2024
Fran is the CEO of Toler Financial Group, an RIA based in Silver Spring, Maryland, that oversees nearly $200 million in assets under management for 280 client households.
Wealth Management
DECEMBER 17, 2024
Somethings got to give for compliance teams to effectively manage their snowballing workload and spiraling costs.
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Nerd's Eye View
DECEMBER 18, 2024
Maintaining adequate books and records is a cornerstone of compliance for all investment advisers. For financial planning services, a similar approach to documentation can be applied to support regulatory compliance from the start of client engagement through all the steps that follow.
Wealth Management
OCTOBER 26, 2023
Compliance has not kept up with the current the dynamic regulatory environment and its multitude of requirements.
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.
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.
Wealth Management
SEPTEMBER 26, 2024
Once complete and available, the Intelligent Agent should help relieve the burden of manual communications review on compliance officers.
Speaker: Claire Grosjean
. 🤖 Automation vs. Human Oversight: Why people remain a key part of spend management, and how to strike the right balance between AI-driven analytics and human financial expertise. ✅ Compliance and Risk Considerations: Navigating data-driven finance while staying audit-ready.
Speaker: Abdi Ali, Sr. Lease Accounting Consultant
Join this insightful webinar with industry expert Abdi Ali, who will discuss the challenges that can arise from managing lease accounting with spreadsheets! He will share real-world examples of errors, compliance issues, and risks that may be present within your spreadsheets.
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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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