Efficiency, by definition, is the ability to achieve an end goal with little to no waste, effort, or energy. 💯
Hear how our clients, partners, and team members define efficiency and book a demo to see how we can help: formslogic.com/contactus
#FinancialAdvisor #BrokerDealers
MessageWatcher is an affordable compliance management solution. Simple, efficient, and reliable.
Built for #RIAs and broker-dealers. See how we stack up to the 'big guys.'
#RegulatoryCompliance #BrokerDealers #Finra #FinServ
Excited to share we’ve launched the mortgage industry’s first fully-automated Assignment of Trade (AOT) transaction! Our new service replaces manual & error-prone legacy work practices used by #brokerdealers & #mortgage #investors . Learn more here: bit.ly/3yM6Box
In this week’s goRIA LiveStream, Jeff Benjamin and I riff about the recent trend of #BrokerDealers no longer reporting their #FinancialAdvisor headcount — perhaps because those numbers are dropping?
👉 Where are these advisors going? Are they going RIA?
view.ceros.com/investmentnews…
Give us a call 📲 or a click 🖱️ at compliance-risk.com!
#MemeMonday
#BrokerDealers #InvestmentAdvisers #FinTechStartups #ComplianceConsulting #ComplianceManagement #WealthManagement #AssetManagement #VentureCapital #PrivateEquity
#Finfluencers may need to be subject to more #compliance procedures to make sure risks are addressed, #FINRA warns in a “best practices” report on how #brokerdealers should handle #socialmedia . For more: bit.ly/3IEBBeO #Elinphant #Elinphant bit #Softek #softekbit
#Continuingeducation requirements must be completed annually by #brokerdealers and registered reps starting this year. #Compliance officers, please make sure everyone is aware of the change. For more: buff.ly/3DDajmI #Elinphant #Elinphant bit #Softek #softekbit #Finra
#Continuingeducation requirements must be completed annually by #brokerdealers and registered reps starting this year. Failing to do so will lead to being designated 'CE inactive.' For more: bit.ly/3DujINH#Elinph… #Elinphantbit #Softek #softekbit #FINRA
Here's what #BrokerDealers need to know about amendments to FINRA Rule 2231, which will take effect next year ➱ rsm.buzz/3MLIWwz
#AssetMark is attending the CUSO/Sorrento Annual Conference in #SanDiego next week. Don't miss Wayne Hewett’s breakout presentation, 'Time Management Strategies to Drive Growth' on 8/7 at 1:15pm. #financialadvisors #wealthmanagement #brokerdealers #Hyatt
Virtu Financial CEO Doug Cifu Dscusses Regulation, the SEC, and Spot Bitcoin ETFs with JLN, #DougCifu #VirtuFinancial #FIAConference #MarketStructure #SEC #BrokerDealers #GovernmentBonds #Regulations #ChairGensler #MarketMaker #DigitalAssets #BitcoinETFs #EthereumETF #SpotETFs
AssetMark is excited to meet #financialadvisors attending ESI’s Elite Symposium at The Ritz-Carlton in #SantaBarbara this week. If you’re there, be sure to engage with Senior Sales Manager Claire Coddington and Regional Consultant Nora Gillis. #brokerdealers #wealthmanagement …
AssetMark is at the #IFG National Conference in #Carlsbad , CA this week! Don't miss Business Consultant Shasta Hague’s breakout presentation “Analyzing and Enhancing Firm Financials” on 8/3 10:35am & 8/4 @9:10am. #wealthmanagement #brokerdealers #fintech
$MULN #MULN … More To Come‼️‼️What Else⁉️⁉️⁉️Keep It Coming‼️‼️‼️ #OverSeasAcct #BrokerDealers 😉🤭🙃🫠🤔😈🔥🔥🔥🔥🔥💪❤️👵
The KoreMinute is back and today, our Co-Founder and President of KoreTransfer USA, Jason Futko, CPA, CA is here to explain the differences between Broker-Dealers and Transfer Agents.
Want to learn more? Go to our website!
koreconx.com
#brokerdealers #transferagent
We gonna get some answers from #FINRAFRAUD , #SEC , #BROKERDEALERS ,and #MARKETMAKERS one way or the other #MMTLPARMY
Listen in as Robert Powell, VP of Distribution Sales, chats with Craig Iskowitz of the WealthTech Today podcast to discuss hot topics in the wealth management space.
Listen here: hubs.li/Q02fbBlj0
#wealthtech #annuities #brokerdealers #esignature
