Communication Compliance License Transportation 
Sara Grillo
JUNE 2, 2022
What about straightforwardness of communication? I have several issues with the methodology, namely: The advisor must have an “acceptable compliance record.” There are plenty of financial advisors with a long tenure in the business and spotless compliance records. Number of employees per client? What about ethics?
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.
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