Annual broker dealer audits and consistent reporting show that broker dealers are compliant with regulations established to protect investors. Broker dealers should implement their own internal investigations to prove their commitment to investors, but tax and audit services are the primary external tool to verify their practices.
The Best Way to Manage RSUs
Many employees receive Restricted Stock Units (RSUs) as part of their regular compensation, which are shares of ownership (i.e. stock) in the employer’s company. If you’re one of these employees, you have to decide when to sell your RSUs. How RSUs compensation works RSUs are awarded at a regular time, such as during an annual […]
Look Out for Broker Dealer Audit Deficiencies in These Areas
Every year, the Public Company Accounting Oversight Board (PCAOB) releases a report of broker dealer audit findings under its interim inspection program. For nine years in a row, the report indicated a high level of broker dealer audit deficiencies in certain areas of engagement performance. The importance of the PCAOB’s oversight The PCAOB exists to […]
The 4 Ways to Segment Your Direct Mail Audience
As a small business owner, you probably wear multiple hats. You might be in charge of operations, marketing, and customer service. When it comes to marketing, you can take a hint from the professionals by narrowing your direct mail outreach to a specific audience. Professional marketers and providers of custom mail services call this process […]
Quickly Attract New Tenants with These Simple “Rent Ready” Qualities
When potential tenants browse the market for rental units, they’re primarily looking for units within their budget and in their targeted location. Once they shorten their list, they consider additional factors, such as the amenities, property condition, pet policy, and sometimes restrictions on cannabis use.
What to Look for in Your Custom Mail Services Provider
Adding a new provider to your marketing strategy can be difficult, especially if it’s your first time incorporating their services. How do you know they’re the best option? There are three main traits you should look for when considering your first custom mail services company: service expertise, quality products, and attentive customer support. Expertise in […]
It’s Easy to Prepare for a Successful Broker Dealer Audit
Your broker dealer audit is easy to prepare for if it’s treated as a work-in-progress throughout your company’s fiscal year. Viewing it as an ongoing project requires your business to stay compliant with current guidelines and regulations. This means implementing new measures as they come, reducing large scale interruptions to your business. Part of preparing […]
Top “Rent Ready” Criteria to Satisfy Your New Tenants
Potential tenants start their apartment or rental property search by looking for units within their budget and target community. After they single out units for further investigation, they consider additional factors, such as unit amenities (dryer/washer, dishwasher, etc.), pet policies, and carports. Sometimes they look for units that allow cannabis use or growth. Though you […]
The Risk of Leasing Your Home to Cannabis Growers
It’s not illegal to grow cannabis in the City & County of Sacramento, but there are strict restrictions that are published by large fines. If a resident is caught growing more than the legal limit of six plants, law enforcement can cite the property owner an Administrative Penalty for Cannabis Cultivation. Unfortunately, this means that […]
A Quick Guide to Your First Broker Dealer Audit
The requirements for broker dealer audits exist to protect investors from unregulated activity. Though broker dealers are expected to conduct their own internal investigations, external entities agencies are necessary for objectivity. Once a year, investment advisory and venture capital firms that are registered with the Public Company Accounting Oversight Board (PCAOB) must audit their broker […]