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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.
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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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Book of Secrets on the Month-End Close
What Your Financial Statements Are Telling You—And How to Listen!
Are Robots Replacing You? Keeping Humans in the Loop in Automated Environments
Data Talks, CFOs Listen: Why Analytics Is The Key To Better Spend Management
Wealth Management
JUNE 6, 2024
Fintello's Deepak Patel discusses advisor concerns about how to use social media and dealing with compliance.
298 
Wealth Management
APRIL 27, 2023
Getting advisors on board with building a social media presence will help leverage authenticity, grow thought leadership, ensure compliance and get to know clients on a new level.
Wealth Management
OCTOBER 11, 2022
The new platform bundles content generation and analytics, social media management and compliance features, among others.
264 
Nerd's Eye View
JULY 14, 2023
Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that while the new social media app Threads, designed to compete with Twitter, has surpassed 100 million users in its first week alone, its potential utility for advisors remains unclear and has raised compliance concerns for advisors (..)
BlueMind
JULY 15, 2022
Category: Compliance. The Significance Of Financial Compliance Financial compliance requires all actions, procedures, guidelines, and business culture to abide by the rules and regulations set by the regulatory authorities of the financial market. Related: Compliance and Automation – An Ideal Unison!
98 
Nerd's Eye View
MARCH 17, 2025
In practice, rapid adoption of AI Notetakers has been expedited both by the media's fixation on Artificial Intelligence (which has highlighted a wide range of AI solutions like Fathom, Fireflies, and Otter) and by the rollout of AI Notetakers within existing platforms (from Microsoft's CoPilot to Zoom's AI Companion).
Nerd's Eye View
JUNE 23, 2023
Enjoy the current installment of "Weekend Reading For Financial Planners" - this week’s edition kicks off with the news that amid a flurry of SEC-proposed rules for investment advisers, the Investment Adviser Association this week called on the regulator to assess whether the compliance burden these regulations would put on advisers outweighs (..)
Nerd's Eye View
JUNE 7, 2023
Which makes it all the more important for IARs to ensure Form U4 is up to date and that the way they are presenting themselves to current and potential clients in public – including content on their website, advertisements, and social media post – aligns with their (also publicly available) regulatory disclosures! Read More.
246 
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, (..)
Nerd's Eye View
JANUARY 13, 2023
FINRA has released its enforcement priorities for 2023, including a continued focus on compliance with Regulation Best Interest as well as several new priority topics, such as manipulative trading, fixed-income pricing, and trading in fractional shares. Enjoy the ‘light’ reading! Read More.
Midstream Marketing
NOVEMBER 26, 2024
These methods include using technology, content marketing, and strategies that follow compliance rules. This includes using content marketing and sticking to compliance rules. This means using AI to make personalized experiences and having strong social media campaigns. Creating effective marketing campaigns is key for them.
52 
Midstream Marketing
DECEMBER 7, 2024
By automating tasks such as email campaigns and social media posts, advisors can focus more on building relationships. The integration provides workflows that are automatic, along with digital marketing and compliance tools. This information is simple to customize and share on various marketing channels, like social media and email.
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Mish Talk
NOVEMBER 13, 2022
Our Customer Service Team will follow up and strive to resolve the requests manually one by one in close coordination with our security, operations and compliance team to ensure a smooth process. Expect manual withdrawals to take longer than usual.
263 
Nerd's Eye View
AUGUST 7, 2023
From there, the latest highlights also feature a number of other interesting advisor technology announcements, including: Wealth Management GPT has launched as one of the first standalone AI writing tools for financial advisors, distinguishing itself from other tools that are integrated within already-existing AdvisorTech tools (which raises questions (..)
246 
Nerd's Eye View
NOVEMBER 7, 2022
Hearsay Systems rolls out a new small-to-mid-sized RIA platform for social media compliance and website design. Riskalyze signals an intent to rebrand itself away from ‘just’ risk tolerance assessments to a broader focus on helping advisors grow clients and assets.
241 
Indigo Marketing Agency
FEBRUARY 19, 2025
In 2025, small business owners feel like they need to be a social media influencer, thought leader, SEO specialist , PPC ninja, and content creating machine, uploading epic content daily to a dozen or more platforms to attract clients. Social Media Management : We help you to engage with your audience on platforms like LinkedIn and Twitter.
Midstream Marketing
OCTOBER 30, 2024
Websites, social media, and SEO offer great opportunities to connect with new clients online. RIAs can show their skills by using search engine optimization (SEO) and social media marketing. Effective Use of Social Media in RIA Marketing Social media is a great tool for RIAs to connect with new clients and grow their brand.
Nerd's Eye View
JUNE 26, 2023
And when the acquiring firm is much larger than the selling firm, the much more rigid structure of the larger firm (particularly relating to compliance and personnel management) will almost inevitably conflict with a previously independent firm owner who is used to making their own decisions.
246 
Midstream Marketing
DECEMBER 6, 2024
Discover how digital strategies like AI-driven personalization and strong social media campaigns can help. This means having an easy-to-use website, interesting content, and being active on social media. Social media platforms, like LinkedIn and Facebook, are important too. Clients now want financial advice online.
52 
Midstream Marketing
DECEMBER 26, 2024
These features include customizable advertising templates, automated email campaigns, tools for social media management, and access to approved, compliant content libraries. Advisors can reach out through email, social media, and custom websites. They should also use social media analytics to see how people engage.
52 
Advisor Perspectives
JUNE 27, 2023
Proper archiving of social media data is crucial to meet compliance requirements and reduce these risks, ensuring your firm has a backup of content in case of complaints.
52 
Sara Grillo
FEBRUARY 23, 2024
Question from a subscriber: “Compliance is impossible to get my content through. My financial advisor compliance department take forever and nitpick every little thing!” If you steer clear of the obvious violations, it’s actually pretty easy to get your content approved by your compliance officer.
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Indigo Marketing Agency
JUNE 7, 2024
The world of digital marketing is ever-evolving, and social media stands out as an exceptionally powerful tool! But many advisors fall into common traps that hinder their social media success. Here are some of the biggest mistakes advisors make on social media and actionable ways to fix them ASAP.
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Sara Grillo
JULY 12, 2024
Follow them on social media to get a sense of what engages best with their following. Make sure you clarify to the publication that you will need additional time for your compliance to approve the copy before it is published. Compliance will have to review the proposed changes before you send the final draft.
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Indigo Marketing Agency
SEPTEMBER 28, 2024
Additionally, our monthly personalized articles and social media posts provide high-value content that resonates with your audience, addressing the issues we identified earlier. READ MORE Previous Next FAQs How do financial advisors choose the best social media platforms for their practice?
Midstream Marketing
JANUARY 19, 2025
Understand the significance of website optimization and social media engagement for client interactions. Using social media, email marketing, and SEO strategies can take your marketing efforts to the next level. Digital marketing strategies include social media, SEO, and email marketing.
AdvisorPR
SEPTEMBER 28, 2023
Comprehensive, current, and actionable program trains members to engage with the media and use FPA MediaSource, the automated media query platform connecting financial planners and journalists. With an eye on supporting the needs of journalists, the Association introduced FPA MediaSource in 2016.
Carson Wealth
DECEMBER 2, 2024
We didn’t have social media back then, but I could only imagine how mad that would have made the bears. 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. on average.
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Midstream Marketing
DECEMBER 10, 2024
Consistency is key: ensure your branding is uniform across your website, social media, emails, and marketing materials. Social Media Engagement Social media is a powerful tool for advisors to establish an online presence and reach potential clients. Always follow the rules for sharing financial information on social media.
Midstream Marketing
NOVEMBER 6, 2024
A strong content marketing strategy involves setting clear goals, knowing your target audience, creating various types of content, and using social media and SEO effectively. When you share useful things, like white papers, blog posts, articles, and updates on social media, you can show that you are a thought leader in the financial industry.
Harness Wealth
JANUARY 10, 2025
Tax advice is a common topic on social media platforms like TikTok. In this article, well separate the facts from the fiction regarding these social media claims, highlighting the difference between popular and professional tax advicea difference that can have profound consequences when dealing with the Internal Revenue Service.
52 
Midstream Marketing
OCTOBER 31, 2024
During this time of digital transformation, social media and online channels play a huge role. Social Media Marketing: Connect with your audience, boost brand awareness, and drive traffic by using interesting social media posts and campaigns. Introduction The financial services industry is changing quickly.
52 
Indigo Marketing Agency
APRIL 4, 2024
In today’s digital age, social media isn’t just a platform for sharing cat videos and vacation photos—it’s a powerful tool for building your brand, connecting with clients, and growing your business. In this comprehensive guide, we walk you through everything you need to know about using social media effectively as a financial advisor.
40 
Sara Grillo
MAY 31, 2024
sigh) Take these actions TODAY: There are very specific rules about how to actively solicit a Google review, from a compliance perspective. Ask your compliance officer or lawyer. And by the way, remember to consult with your compliance officer or lawyer before taking any actions regarding Google reviews.
Midstream Marketing
NOVEMBER 26, 2024
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. You can choose various formats, like blog posts, articles, white papers, webinars, or engaging social media posts.
52 
Carson Wealth
DECEMBER 11, 2023
Consumers Are in Much Better Shape Than Financial Media Suggests We frequently hear about how badly consumers are doing and that they will be tapped out soon. Compliance Case # 02018534_121123_C The post Market Commentary: Things You Don’t See in a Recession appeared first on Carson Wealth. That doesn’t look like a recession to us.
143 
Sara Grillo
MAY 3, 2024
Love is a battlefield, and so is marketing compliance. There are no set formulas for avoiding this, and I’m not a lawyer so don’t take this as legal or compliance advise. Hire a professional compliance officer. Follow compliance’s guidance verbatim on how to present these.
52 
Sara Grillo
DECEMBER 16, 2024
Instead of trying to pitch lower fund fees or compliance, strike them in the heart. I am an outsourced CMO for companies who need regular, full service marketing blogging, social media posts, newsletters, etc. Business owner, do you care about your employees? Do you want them to stay with you a long time?
Risk Management Guru
NOVEMBER 20, 2023
Firms are investing in new technologies and processes to manage reputation risk, such as social media monitoring. Regulatory compliance : The regulatory landscape is constantly changing. Increased focus on reputation risk : Reputation risk is the risk that a firm’s reputation will be damaged by a scandal or other event.
105 
Midstream Marketing
JANUARY 19, 2025
. " In 2012, the SEC even made it beyond clear that this applied to not only statements made by advisers and their representatives, but to third parties on social media as well. This left a few questions concerning the new "review culture" that is taking place on the Internet, so the SEC further clarified things in 2014.
40 
Indigo Marketing Agency
DECEMBER 13, 2024
Social media: Platforms like LinkedIn and Facebook allow you to share content and engage with different demographics. To ensure compliance: Know the Regulations: Stay updated on industry regulations and guidelines from bodies like the SEC and FINRA. A diversified approach can enhance your reach and effectiveness.
52 
Sara Grillo
JUNE 7, 2024
Or if you want more… I am an outsourced CMO for companies who need regular, full service marketing – blogging, social media posts, newsletters, etc. Nothing on this website shall be construed as compliance or legal advice of any sort; for such advice, consult with your compliance officer or attorney.
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