The Future of RegTech for Wealth Management
Wealth Management
JULY 18, 2024
Regulatory intelligence, data management, smart workflow and data security are key tenets compliance officers will need their tools to meet going forward.
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.
Compliance 
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Smarsh Building AI Intelligent Agent for Compliance
Wealth Management
SEPTEMBER 26, 2024
Once complete and available, the Intelligent Agent should help relieve the burden of manual communications review on compliance officers.
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Five Tips to Speed Up Compliance
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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JD Power: Advisors Increasingly Bogged Down By Administration, Compliance
Wealth Management
JULY 5, 2023
Advisors who said they don't have enough time with their clients spend an average 41% more time every month than peers on compliance, administrative and other “non-value-added” tasks, according to a new J.D. Power survey.
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Aaron Klein on Helping Wealth Management Firms Grow Faster
Wealth Management
OCTOBER 27, 2022
Aaron Klein, co-founder and chief executive officer of Riskalyze, discusses how firms can leverage compliance as a tool for growth.
Shoring Up Compliance as Capital Costs Rise
Wealth Management
SEPTEMBER 12, 2023
With the “free money” well running dry, compliance is one area that heavily regulated firms should think long and hard about before cutting to conserve cash.
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Top Compliance and Litigation Tips for 401(k) Plans
Wealth Management
SEPTEMBER 18, 2023
Do not forget the basics regarding compliance and ligitation of 401(k) retirement plans.
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Navigating the Complexities of Compliance
Wealth Management
JULY 26, 2023
By approaching compliance as a strategic opportunity rather than a regulatory burden, advisors can successfully navigate the maze and build a stronger practice.
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Partnering for Success and Compliance at United Planners
Wealth Management
JUNE 24, 2024
United Planners' collaborative culture aids advisors in serving clients while ensuring compliance issues are met.
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Q&A: Smarsh's CEO on the Role of AI in Communications Compliance
Wealth Management
OCTOBER 11, 2024
Our tech columnist discusses AI and compliance with the chief executive of one of the industry’s largest providers of communications compliance technology.
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Can Compliance Be a Revenue Generator?
Wealth Management
SEPTEMBER 13, 2022
Speakers at the Future Proof wealth festival on how compliance can move a cost of doing business to a valuable business function to be marketed—and monetized.
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Aaron Klein on Helping Wealth Management Firms Grow Faster
Wealth Management
OCTOBER 27, 2022
Aaron Klein, co-founder and chief executive officer of Riskalyze, discusses how firms can leverage compliance as a tool for growth.
Wealthies Circle Podcast: Compliance Priorities in an Evolving Digital Environment
Wealth Management
DECEMBER 9, 2022
The digital revolution has made compliance issues more numerous and complicated than ever. Leaders in the space discuss how they're helping advisors manage risk.
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Survey: More Firms Plan to Add Compliance Resources
Wealth Management
NOVEMBER 16, 2022
An aggressive regulatory push by the SEC is behind the "major shift" in resources, according to Hearsay Compliance Principal Bill Simpson.
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Orion Launches Compliance Tool With Share Class Monitoring
Wealth Management
FEBRUARY 28, 2023
The newly-released tool seeks to automate multiple compliance processes, including share class monitoring.
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Firms Face Choppy Water Navigating SEC Compliance Dates
Wealth Management
MARCH 13, 2023
Commissioner Mark Uyeda argued that such dates all can’t “hit at the same time” during a discussion at the Investment Adviser Association Compliance Conference.
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Adviser links: building an enduring franchise
Abnormal Returns
OCTOBER 7, 2024
thinkadvisor.com) Creative Planning shows 'institutional investors are placing a premium on integrated wealth management businesses relative to aggregators.' citywire.com) Advisortech AI is coming for the compliance stack. (frazerrice.com) Creative Planning TPG just bought a big stake in Creative Planning.
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Compound Planning Snags $1.2B Iowa Team from Choreo
Wealth Management
MARCH 4, 2025
The self-described digital family office has also hired a new chief compliance officer, Courtney Holt, from Perigon Wealth Management.
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Compliance Consultant Launches Video Marketing Business
Wealth Management
JANUARY 9, 2024
Sander Ressler's Vidiance aims to deliver client testimonials compliant with SEC marketing rules.
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The Data Demands for Cross-Border Wealth Management Innovations
Wealth Management
FEBRUARY 13, 2025
Firms operating in multiple countries must also manage their data estates in compliance with many different data-related regulations.
Keeping Pace With Compliance Regulations
Wealth Management
JUNE 24, 2024
Why recent trends have seen business owners shift to consolidation.
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Adviser links: a winning model
Abnormal Returns
NOVEMBER 7, 2022
standarddeviationspod.com) Compliance Jason Zweig, "In 30 years of writing about the financial-advice industry, I never learned that advisers can provide less-comprehensive disclosures than stockbrokers." wsj.com) Advisers are scrambling to get into compliance with new advertising rules.
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The Need to Add ‘Communications Surveillance’ to Compliance
Wealth Management
OCTOBER 31, 2023
The modern workplace requires financial firms to move with the times.
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The Unique Hurdles of Real Estate ESG Compliance
Wealth Management
SEPTEMBER 6, 2022
Real estate investment companies are facing a daunting task when it comes to properly reporting on vast quantities of data across environmental, social and governance factors. Here’s how technology can help.
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Left on Read: The Cost of Ignoring iMessage Compliance
Wealth Management
FEBRUARY 13, 2025
iMessage isnt going anywhere, and neither are the regulators. Here's how financial advisors can stay compliant.
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2025 Compliance Outlook: Essential Strategies for Financial Advisors
Wealth Management
JANUARY 2, 2025
Thursday, January 16, 2025 | 2:00 PM ET
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Adviser links: a decent place
Abnormal Returns
JUNE 26, 2023
wiredplanning.com) Daniel Crosby talks with advice non-compliance with Derek Hagen who is the founder of Money Health Solutions. standarddeviationspod.com) Michael Kitces talks about the challenges of retirement with Tony Hixon who is the Co-founder and COO for Hixon Zuercher Capital Management.
Adviser links: something to look forward to
Abnormal Returns
JULY 17, 2023
standarddeviationspod.com) Charles Schwab Charles Schwab ($SCHW) clients with $1 million in assets now are automatically enrolled in one of its private wealth management programs. advisorperspectives.com) Think twice, compliance-wise, before jumping onto Threads. investmentnews.com)
MiB: Brian Hamburger, MarketCounsel
The Big Picture
APRIL 22, 2023
This week, we speak with Brian Hamburger , founder and chief executive officer of the business / regulatory compliance consultancy MarketCounsel , as well as the founder and chief counsel of the Hamburger Law Firm, a boutique law firm that focuses on investment and securities industry matters.
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AI Usage Top Priority for SEC Examiners in 2025
Wealth Management
OCTOBER 21, 2024
According to the SEC division’s exam priorities, Reg BI compliance and the use of crypto assets are other areas of focus for the upcoming year.
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Should Advisors Be Worried About Online Reviews? It Depends.
Wealth Management
JUNE 16, 2023
While advisors should be informed and prepared as to risks and compliance issues, the opportunity with reviews is clear.
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ACA Survey: Most Advisory Firms Have No Plans To Use AI Tools
Wealth Management
JULY 16, 2024
Some 64% of advisory firms have no plans to develop or use client-facing artificial intelligence, yet 46% said it was a chief compliance concern, according to the ACA Group's latest survey.
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Substantial Compliance in Reporting Taxable Gift Sufficient to Start Statute of Limitations
Wealth Management
MAY 31, 2023
The Court ruled that a disclosure package submitted to IRS adequately disclosed transfer of company and related foreign accounts.
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The Challenges of Digital Marketing
Wealth Management
JUNE 6, 2024
Fintello's Deepak Patel discusses advisor concerns about how to use social media and dealing with compliance.
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Moving to Europe? What U.S. Investors Need to Know
Wealth Management
APRIL 1, 2025
citizens need to know about taxes, investing and compliance when living abroad. In this WMTV on Location video, Robert Levitt breaks down what U.S.
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How to Help Financial Advisors Start Social Selling
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.
Smarsh Announces Partnership With OpenAI
Wealth Management
JULY 18, 2024
Integrations between the two will enable compliance, capture and analysis of data from ChatGPT Enterprise usage.
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Recent Pay-to-Play Case Is Cautionary Tale for Advisors and Political Contributions
Wealth Management
JUNE 7, 2024
Political contributions can pose compliance concerns—and reputational risks—to firms in a hotly contested election year.
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Managing Risk in Private Foundations: Compliance Fundamentals
Wealth Management
FEBRUARY 17, 2023
Wednesday, March 15, 2023 | 1:00 PM ET
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SEC Considers Additional Ad Rule Guidance for Advisors
Wealth Management
MARCH 7, 2025
According to SEC staff at the Investment Adviser Associations compliance conference, the two planned FAQs would help clarify when advisors must use net and gross performance to describe investments.
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SEC Fears Some B/Ds Fall Short in Anti-Money Laundering Compliance
Wealth Management
AUGUST 2, 2023
In a new risk alert, SEC examiners stressed that firms have appropriate staffing to comply with AML regulations, especially after the wave of sanctions following Russia’s invasion of Ukraine.
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The WealthStack Podcast: The Future of AI Security with Alec Crawford
Wealth Management
NOVEMBER 22, 2024
AI Risk's Alec Crawford details how to solve security and compliance issues posed by artificial intelligence.
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Adviser links: picking up the phone
Abnormal Returns
OCTOBER 16, 2023
riabiz.com) Compliance Compliance is one of the biggest concerns of advisers. thinkadvisor.com) AI tools are coming for the compliance function. (riaintel.com) How many United Capital advisers will remain at Creative Planning when all is said and done?
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