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

XY Planning Network

JANUARY 16, 2023

But from their employer’s perspective, they would be essentially walking out the door with the firm’s assets. From the advisor’s perspective, they’ve worked very hard to build those client relationships and manage them with the client’s best interests at heart. Who better to continue that relationship, right?

Clients 72

Clients Assets Management Recruitment 72

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

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. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advise on such matters, contact a legal or compliance advisor.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59