BlueMind

JULY 15, 2022

Category: Compliance. The Significance Of Financial Compliance Financial compliance requires all actions, procedures, guidelines, and business culture to abide by the rules and regulations set by the regulatory authorities of the financial market. Related: Compliance and Automation – An Ideal Unison!

Compliance 98

Compliance Financial Advisor Certified Financial Planner Clients 98

Inside Information

OCTOBER 30, 2021

I was able to catch up with Rostad after the award ceremony to find out where, in his view, we stand on fiduciary issues with the regulators and other stakeholders. It is with great admiration and respect that The Committee for the Fiduciary Standard is thrilled to honor a man that certainly continues to Rock the Fiduciary world!

CFP 40

CFP Commission Investing Investments 40

Sara Grillo

MAY 8, 2023

For those of you who are new to my blog, my name is Sara. I am a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors. The invest it in call options to see if they can catch some market upside.

Insurance 59

Insurance Clients Financial Advisor Accounting 59

Sara Grillo

SEPTEMBER 12, 2022

For those of you who are new to my blog, my name is Sara. I am a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors. This would make the CFP Board the de facto regulator for the profession.] 2 The CFP vs SEC – who regulates better?

CFP 80

CFP Financial Planner Ethics Financial Planning 80

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. RITHOLTZ: And so really, you’re saying he couldn’t keep a job, constantly looking for a new gig. RITHOLTZ: They know the rules of the road better than others.

Compliance 154

Compliance Wealth Management Clients Management 154

The Big Picture

JUNE 27, 2023

And then covering, not in the mayhem of that Monday, but pretty close to the bottom tick on Tuesday, really just a fascinating career, a unique perspective on markets. I found this to be a master class in a humble approach to markets and being aware of your own limitations in order to obtain the best possible results as a trader and investor.

Math 143

Math Risk Management Marketing Marketing 143