- Compliance BDs RIA BCP
- Keeping Out of Trouble With the Regulators
- Overcoming The Fear of Complying
- Mutual Fund Sales: Breakpoints, point of sale disclosure, confirmation disclosure, more disclosure.
- Most RIAs who manage portfolios deduct their advisory fee from the client’s account. Advisors used to be able to rely on a series of no-action letters that specified procedures to avoid custody when doing so. That has all changed
- Developing Your Marketing Plan
Nancy Lininger, new laws are being passed at a faster and faster speed as the regulators react to corporate scandals, insider trading, late traders, and financial scoundrels that steal investor money.
This leaves all you honorable folk trying to piece together one new compliance procedure after another, while also trying to focus on what you do best – investing clients’ money.
She helps lift the burden of compliance and marketing off the shoulders of financial services firms.™
Managing a financial services firm is very exhilarating, but not an easy task.
Your company faces two tough problems — how to market your services effectively, and how to comply with the maze of securities regulations.
Can both be accomplished harmoniously?
You set priorities for your marketing efforts and where we will focus attention. Prepare a marketing outline and fill in the outline with very specific ideas based on our discussions and your needs.