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Guide
Monday, November 18, 2024
STP Investment Services
Year-End Compliance Checklist
This essential tool guides investment advisers through key regulatory filings, disclosure requirements, employee compliance measures, and best practices. Simplify your year-end preparations and ensure no detail is missed.
Infographic
Friday, November 1, 2024
ArmadaCare for CalBroker
Help Business Owners Say Goodbye to Out-of-Pocket Healthcare Expenses
Group benefit brokers: Discover how to help business owners say goodbye to out-of-pocket health expenses.
Infographic
Friday, November 1, 2024
ArmadaCare
Help Business Owners Say Goodbye to Out-of-Pocket Healthcare Expenses
Group benefit brokers: Discover how to help business owners say goodbye to out-of-pocket health expenses.
eBook
Wednesday, October 30, 2024
STP Investment Services
The Biggest Compliance Traps That You Don’t Even Know Are Happening at Your Firm
In today's regulatory environment, Chief Compliance Officers (CCOs) face significant challenges. From AI adoption to off-channel communications and the complexities of the new Marketing Rule, the risks are real and the costs of non-compliance are steep.
Guide
Thursday, September 5, 2024
FIN Compliance
Maximizing Productivity: Business Management Solutions for Accessing Multiple Applications
This guide outlines how firms can integrate Single Sign-On (SSO) with a unified business management portal to streamline access to key applications like CRM, project management, accounting, and HR, enhancing efficiency and security.
Guide
Tuesday, March 12, 2024
Take Command
ICHRA Compliance Questions, Answered
ICHRA compliance is a complex and nuanced subject and compliance is a hot topic. Here are some of the top ICHRA compliance questions and our answers, so you feel confident discussing ICHRA compliance questions.
Guide
Monday, February 12, 2024
Take Command
The Broker's Role in Navigating ICHRA
An Individual Coverage Health Reimbursement Arrangement (ICHRA) is a new player in the health insurance market. It's different than the group market, but don’t worry, we're here to help you navigate it!
Guide
Tuesday, March 21, 2023
YourStake
How to prepare for an ESG Audit
This step-by-step guide is essential for Financial Advisors when they get requested for an ESG audit by the SEC, and shares key examples and phrases to use to help build comprehensive and complete answers to an SEC audit process.
Research / Report
Wednesday, February 16, 2022
FIA