Compliance Practice Management Securities 
Nerd's Eye View
JANUARY 27, 2025
Compliance is another consideration for advisors implementing automations, especially for client-facing communications like text messages and emails.
Nerd's Eye View
MARCH 14, 2025
Which, if implemented under the new administration, could provide relief for investment advisers, particularly smaller firms that already have to balance compliance with client service, marketing, and the other duties that go into running a firm.
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E78 Partners
APRIL 10, 2023
In today’s rapidly evolving dental industry, practice owners and Dental Service Organizations (DSOs) face numerous challenges in managing patient care, ensuring compliance, and maintaining profitability. In addition, DSOs can efficiently manage and organize the vast amounts of data generated across multiple locations.
Nerd's Eye View
FEBRUARY 17, 2023
Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the SEC is proposing to expand the adviser custody rule beyond securities and funds to cover all assets in a client’s portfolio, including private securities, real estate, derivatives, and cryptoassets.
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
NOVEMBER 6, 2023
This month's edition kicks off with the news that Practice Intel has launched a new "growth platform" centered around quantifying the quality of an advisor's client relationships with an all-in "Relationship Quality Index" (RQI) – which while potentially valuable in helping advisors understand and improve their client experience (and subsequently (..)
Nerd's Eye View
FEBRUARY 2, 2024
Also in industry news this week: A recent study from advisor digital marketing firm Snappy Kraken suggests firms that invest in Search Engine Optimization (SEO), have a regular cadence of emails to their subscriber list, and include video content in these messages tend to get greater returns from their marketing efforts CFP Board has created a guide (..)
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