Inside Information

MAY 30, 2023

In the more comprehensive surveys, you will see the percentage or dollar revenues collected by each BD on annuity, life insurance and other product sales, vs. fees (defined by asset management fees, shared between the reps and the broker-dealer). The compliance people have to pre-approve their communications.

Communication 40

Communication Sales Compliance Insurance 40

Good Financial Cents

JANUARY 11, 2023

These individuals are essential to major banks worldwide, devising strategies to maximize assets while ensuring sound financial decisions are being made. Excellent communication and interpersonal skills. Credit analysts’ challenge is largely based on their ability to remain impartial when evaluating borrowers’ finances.

Banking 95

Banking Budgeting Portfolio Management Recruitment 95

The Big Picture

AUGUST 15, 2023

And so alongside of Wall Street recruiting in my senior year, I interviewed at the Yale Investments Office and was fortunate to get that job and violated the two principles I had at the time, which was I wanted to be in a training program and I wanted to leave New Haven. So I think selecting managers in any asset class has that two pieces.

Management 130

Management Investing Investments Government 130

The Big Picture

JULY 26, 2022

WEAVER: Well, thankfully, we were — I really communicated a lot with Doug and Tom, and they understood. All-in, you’re $8 billion in assets totally. I mean, I don’t — RITHOLTZ: So this is really devious recruitment. WEAVER: — you know, my teaching and recruiting. RITHOLTZ: Quite interesting.

Consulting 286

Consulting Management Numbers Investing 286

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 152

Compliance Wealth Management Clients Management 152

Sara Grillo

SEPTEMBER 26, 2022

I think that we do need sales people to sell things, I think sales is just the expression of value, the expression and the communication of value. That lead him to start Quest Asset Management, with the novel idea of putting investor interests first as a fiduciary, which was practically unheard of at the time. Was this helpful?

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

MAY 16, 2023

They kept the reputation intact by communicating with their investors. Why wouldn’t you, you can buy a fintech assets for 90, 90 cents off the dollar. Um, case anybody that says anything, non-compliant, compliance tracks that also the watch list is just sort of fun. So these people were beat up, but they were all smart.

Media 278

Media Investing Investments Valuation 278