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Why Held-Away Asset Management Technology Is Being Scrutinized By State Regulators (And How Advisors Can Compliantly Manage Clients’ 401(k) Assets)

Nerd's Eye View

Alternatively, some advisors have instead opted to collect clients' login information so they can execute the trades in their clients' accounts themselves –presenting numerous data security and compliance issues for the advisor (and can lead to the advisor being considered to have custody over client assets).

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Why Regulators Are Questioning The Use Of Held-Away Asset Management Technology (And What Advisors Can Do About It)

Nerd's Eye View

Alternatively, some advisors have instead opted to collect clients' login information so they can execute the trades in their clients' accounts themselves –presenting numerous data security and compliance issues for the advisor (and can lead to the advisor being considered to have custody over client assets).

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Survey Shows Non-Bank Financial Institutions Prioritizing Security, Compliance, Efficiency

Strategic Treasurer

Survey Shows Non-Bank Financial Institutions Prioritizing Security, Compliance, Efficiency. AI and ML Investments Expected to Grow, Supporting Security and Fraud Prevention. Among the top findings were the following points: Security & Fraud Prevention, Compliance, and Efficiency. Strategic Treasurer.

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Benefits of PE Firms Outsourcing Their Tax and Compliance Tasks

E78 Partners

Private equity (PE) firms are constantly looking for ways to improve their operations and create value for their shareholders, and outsourcing their tax and compliance operations is one way this can be made possible.

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Top 3 Banking Secrets to Stay Relevant with Gen Z Consumers

Speaker: Brian Muse-McKenney, Chief Revenue Officer & Matt Simester, Cards and Payments Expert

Economics and Returns 📈 Adapt to shifting market conditions with flexible, cost-effective technology and operating models to consistently achieve desired economic benchmarks and returns.

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POV: Why CFOs can’t ignore privacy and compliance in 2023

Future CFO

She believed that in comparison to the pre-pandemic landscape, the amplified reliance on these principles will likely pave the way for security advancements that ultimately improve privacy. What are the role of Chief Financial Officers (CFO) and senior finance leaders when it comes to data privacy and compliance?

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Outsourced Tax Accounting Services Ensure Compliance and Savings

CFO Plans

Outsourced Tax Accounting Services Ensure Compliance and Savings Navigating the labyrinth of tax regulations can be daunting for any business. Outsourced tax accounting services provide expert advice, ensuring compliance and optimizing tax strategies. Streamline your real estate financial management.