Trade Brains

SEPTEMBER 22, 2023

Operating Profit Margin (%) 18 Healthcare, retail, aerospace and defence, government, banking and financial services, engineering and construction, oil and gas, retail, travel and transportation, media, education, the automobile industry, and consumer electronics are just a few of the sectors Wipro supports. Stock P/E (%) 19.53

Portfolio Analysis 116

Portfolio Analysis Portfolio Healthcare Banking 116

Inside Information

MAY 30, 2023

Another uncomfortable fact is that these BDs have enormous compliance departments which supervise all of the communications put out by the reps and their offices—which is required by FINRA. The compliance people have to pre-approve their communications. Sales are important, but the BD executives won’t be talking about that.

Communication 40

Communication Sales Compliance Insurance 40

The Big Picture

MAY 23, 2023

How to recruit and retain the best people and how to use technology as a tool to give you an edge, not just in investing but in the ability to offer clients various solutions improving your efficiency, effectiveness and productivity as a company. And quite frankly, I didn’t know what financial services was. RITHOLTZ: Right.

Clients 150

Clients Management Engineering Investing 150

The Big Picture

MAY 9, 2023

And again, I ended up in the financial services audit practice at KPMG. So we have a pretty well tried and tested campus recruitment approach. So we have a tried and tested kind of campus recruitment approach. You have to finish the three years. I finished the three years. I qualified the following week.

Assets 283

Assets Clients Investing Investments 283

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. Let me say what your compliance wouldn’t allow you to say.

Management 130

Management Investing Investments Government 130

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 150

Compliance Wealth Management Clients Management 150

The Big Picture

SEPTEMBER 5, 2023

And what is remarkable about some of the towns or cities in Florida is they now hire employees specifically to recruit CEOs from the Northeast who then will bring their companies to Florida. The focus seems to be on other institutions that create employment like healthcare, medical, tech, medical type services. MILLER: Right.

Sales 130

Sales Numbers Taxes Marketing 130