Nerd's Eye View

APRIL 7, 2023

Also in industry news this week: FINRA has announced that, on the heels of its first enforcement action under the Reg BI rules, it will be ramping up its examinations of broker-dealers for potential violations (after a long period of relative leniency when firms were still determining how best to comply with the rule) A recent study from Ameriprise (..)

Prioritization 78

Prioritization Auditing Practice Management Communication 78

Nerd's Eye View

APRIL 14, 2023

Also in industry news this week: The Foundation For Financial Planning has gotten a boost toward its goal of connecting 10,000 CFP professionals with pro bono work thanks to increased funding from Orion Advisor Solutions FINRA has resubmitted a proposal, now with tighter rules, that would allow a broker working remotely to supervise other brokers, (..)

Auditing 67

Auditing Practice Management Leadership Securities 67

PYMNTS

DECEMBER 7, 2020

Pioneer Bank has joined the number of firms filing lawsuits over the continuing and complex MyPayrollHR/ValueWise scandal, which a report from the Daily Gazette calls one of the largest in Capital Region history. Revolut , which is valued at $5.5 Pioneer Bank Sues For Lost $34 Million In ValueWise Scandal.

B2B 63

B2B Finance Practice Management Invoicing 63

CFO News Room

JANUARY 6, 2023

We also have a number of articles on practice management: Why the most successful firms in the coming years might be those who dominate individual market segments rather than those that are ‘overdiversified’. How a ‘time audit’ can help an individual spend more time on their most important personal and professional activities.

Auditing 130

Auditing Practice Management Planning Investments 130

Nerd's Eye View

JANUARY 6, 2023

We also have a number of articles on practice management: Why the most successful firms in the coming years might be those who dominate individual market segments rather than those that are ‘overdiversified’ Four ways firms can attract next-generation advisor talent.

Auditing 75

Auditing Practice Management Planning Investments 75

CFO News Room

NOVEMBER 19, 2022

We also have a number of articles on practice management: Why looking inward at their leadership style can be one of the best ways for firm leaders to prevent employee turnover. How advisors can help their clients turn their HSAs into wealth-building machines.

Planning 130

Planning Leadership Healthcare Accounting 130