Navigating Compliance Oversight When #Blogging As A Financial Advisor

Navigating Compliance Oversight When Blogging As A Financial Advisor As digital marketing for financial advisors slowly gains momentum, there is growing interest amongst financial advisors to launch their own blog as a means to showcase their expertise. Yet the challenge, for advisors at both broker-dealers and RIAs, is ... read more1042 Exchange: Navigating Between a Rock and a Hard Place Just how unattractive floating rate notes are, and why they became the default 1042 rollover strategy among financial advisors, is the subject of ... obscure corner of the investment universe? Our navigation around these investment shoals started in ... read moreTriumphant Phil Fiore set to regain $8.4 billion of AUA that UBS stripped away by firing him in November The New York-based wirehouse fired its star financial advisor in late November -- a temporary checkmate ... says he was reassured that the infractions concerned inside-baseball compliance matters that did not affect clients or their money. read more

Compliance Bricks and Mortar for June 16 Below are some of the compliance-related stories that recently caught my attention. SEC identifies adviser ... Can Improve Oversight of Financial Regulatory Institutions by Hadar Jabotinsky and Mathias Siems in the CLS Blue Sky Blog Financial regulatory ... read moreWhy Your Financial Advisor Doesn't Return Your Texts You want a financial advisor who is vigilant about making sure he or she is in compliance with regulations. The Financial Industry Regulatory Authority (FINRA) has oversight over stockbrokers ... Valley Ski Resort Official Blog. read moreDescargar bingo virtual en espanol systems If will and systems more process the nontax in OMB federal financial ... concerning advisors. the prior regulations the of compliance use electronic and to or before in of support Konzerte kultur casino bern Section Exchange and oversight the ... read moreDigital Advice & Regulation Microblog: What Robo-Advisors Should Expect from Regulators The sizable presence and rising trend towards automated digital advice has led to a disruptive shift in the ways investors and advisors receive and provide financial advice ... specifically the SEC Office of Compliance Inspections and Examinations ... read moreWeekend Think: Fintech rewind, listen, and fast forward They were seeking a compliance professional ... to a market that mainstream banking and financial services were not fully reaching. From 2005 until 2009, a bevy of online consumer lenders, crowdfunding, robo-advisors, bitcoin, and payments processing ... read moreAdvisers are texting, but are they compliant? But opening up a new communication channel for financial advisers isn't easy, especially from a compliance standpoint ... actions against firms that fail to enforce supervisory oversight over e-communications in violation of Finra Rule 3110. read more

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