Inside Information

OCTOBER 30, 2021

He thinks that the distinction has been deliberately (and very effectively) blurred by the brokerage industry, which advertises itself as helping facilitate peoples’ dreams with financial planning and investment advice, whose brokers call themselves, on their business cards, advisors, vice presidents of investments or wealth managers.

CFP 40

CFP Commission Education Investing 40

Brown Advisory

JUNE 12, 2017

All the big brokerage firms have large compliance departments, and they should. Berkshire’s approach frees up a lot of time and energy for managers to focus on running their businesses well rather than communicating with Wall Street and shareholders. Munger said to count him as a skeptic if you think a legalistic approach will work.

Investing 52

Investing Investments Ethics Taxes 52

Brown Advisory

JUNE 12, 2017

All the big brokerage firms have large compliance departments, and they should. Berkshire’s approach frees up a lot of time and energy for managers to focus on running their businesses well rather than communicating with Wall Street and shareholders. Munger said to count him as a skeptic if you think a legalistic approach will work.

Investing 52

Investing Investments Ethics Taxes 52

Indigo Marketing Agency

NOVEMBER 20, 2023

It should clearly communicate the value proposition, such as “Unlock Exclusive Financial Insights: Join Our Mailing List Today!” Compliance With Privacy Laws and Regulations Ensure compliance with privacy regulations like GDPR, CCPA, and CAN-SPAM Act. Optimize content and metadata for a better user experience.

Financial Advisor 52

Financial Advisor Engineering Compliance Advertising 52

Indigo Marketing Agency

APRIL 4, 2024

In today’s digital age, social media isn’t just a platform for sharing cat videos and vacation photos—it’s a powerful tool for building your brand, connecting with clients, and growing your business. Regulations such as SEC, FINRA, and FCA impose strict rules on advertising, communications, and disclosures.

Media 52

Media Financial Advisor Compliance Education 52

The Big Picture

FEBRUARY 13, 2023

Much of how BlackRock evolved is, you know, trying to be pressured about what is the next evolution of what clients are looking for. ADVERTISEMENT) RITHOLTZ: So you’ve been with BlackRock since the financial crisis. I mean, I said this to clients all the time, we could make the wrong decision on markets. Is it repeatable?

Economy 143

Economy Numbers Portfolio Marketing 143

Sara Grillo

MARCH 16, 2024

Transparency is the single most powerful force that exists in realm of human communication. Instead of products, the focus here is on people – flat fee, advice only, and hourly advisors and how to refine their service models to benefit their clients more. Hotel details to be announced later. This is about connection.

Financial Advice 52

Financial Advice Financial Advisor Consulting Communication 52

Sara Grillo

FEBRUARY 13, 2023

Don’t let your clients get taken! These meetups are free and the goal is to learn from each other about how to grow and manage a transparent practice for the benefit of clients. It’s a pretty clean situation or communication. And I just seems like it’s the communication there at least is pretty clear.

Investing 72

Investing Investments Clients Portfolio 72

Sara Grillo

SEPTEMBER 26, 2022

The advertisements that they produce that says that anyone can call themselves a CFP. JR: The advisors were as much the victims as their clients were, and the brokerage firm would say they were all inappropriate behavior, so they’re all disclosures. Option rate securities were… 0:14:54.9 It is kind of a case by case thing.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Compliance 154

Compliance Wealth Management Clients Management 154

The Big Picture

MAY 16, 2023

They kept the reputation intact by communicating with their investors. Um, case anybody that says anything, non-compliant, compliance tracks that also the watch list is just sort of fun. Whereas eTrade they were spending billions on advertising. RITHOLTZ: So great advertising, but expensive advertising.

Media 281

Media Investing Investments Valuation 281