Washington Insights - SEC Examination Priorities for 2023, Plus a Look at Compliance Trends

Posted by Duane Thompson, AIFA®, President, Potomac Strategies, LLC on Mar 15, 2023 3:32:17 PM

SEC Sheds Share-Class Scrutiny, Shifts Focus to New and Pending Investment Adviser RulesOn February 7, 2023, the SEC’s Division of Examinations released its exam priorities for the year. Given the ever-growing number of priorities announced annually, this time the SEC has organized its top priorities into “Notable New and Significant Focus Areas” in addition to other areas of interest.

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Topics: investments, wealth, retirement, financial advisors

What to Expect at IWI's ACE Academy 2023 in San Diego

Investments & Wealth Institute Annual Conference Experience, ACE Academy 2023, is right around the corner. Here's what you can expect from the annual flagship IWI conference. For 2023, we are expecting over 1,200 prestigious financial advisors, like yourself! This financial industry-acclaimed conference is packed with investment and wealth management thought leaders, excellent financial advisor education sessions, and it will include numerous industry experts and innovators. Plus, you'll get to...

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Topics: ACE Academy 2023

Five Conference-Planning Innovations You’ll Find at ACE Academy 2023


Like the namesake of my hometown in Arizona, the conference-planning industry is still rising from the ashes of the pandemic. Anyone who has delivered in-person events has been monitoring the evolving trends as to how conferences are delivered during our “new normal.” In the advice industry alone, we’ve seen various innovations, including outdoor expositions, hybrid live and livestream programs, and fully on-demand programs. In-person events range from intimate, invite-only gatherings to...

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Topics: ACE Academy 2023

The Risks of Retirement

Posted by Robert J. Powell on Nov 5, 2021 1:21:05 PM

In retirement, there are at least nine risks that households will face.

Those include systematic risks: including political (public policy and inflation) and business (market, issuer, income) and unsystematic risks: including behavioral (spending) and chance (household shocks, heath care and longevity).

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Topics: economy, financialpodcast, retirement, retire, financial advisors

Crystal Balls & Rear-view Mirrors: What we learned from the pandemic and what to expect in the "new normal"

The past 18 months will be written about in the history books and taught in schools; movies will be made, and books written. In addition to our personal and work lives, the global COVID-19 pandemic continues to impact the financial markets and, as advisors can attest, clients' emotions.

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The Martial Arts of Behavioral Finance

Protect, Live, Dream

Odysseus, the Greek king of Ithaca, is best remembered for his arduous 10-year journey home after the Trojan War, as well as the Trojan Horse he used to gain surreptitious access to enemy fortifications. As the protagonist in Homer's epic, The Odyssey, and returning character in The Iliad, Odysseus is painted as a fierce warrior whose strength matched only his cunning. And while Odysseus may be best remembered as a warrior, perhaps his most important action on his...

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