5 Compliance Tips for Anticipating Shifting Investor Needs

Posted by Andrew Phillips

May 8, 2018 at 10:00 AM

Over the next three decades, trillions of dollars are poised to transfer from baby boomers to their millennial heirs. And in just the next few years, according to Roubini ThoughtLab’s Wealth and Asset Management 2021 study, the U.S. is expected to enjoy an increase of nearly $45 trillion in wealth. In order for advisors to capitalize on this opportunity, they will need to adapt their businesses to remain in compliance with applicable regulations. The compliance tips included here can help you anticipate and accommodate shifting investor needs to support Generation X and millennial clients and stay up to date on important regulatory changes.

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Topics: Compliance

Creating a Firm Culture That Puts Your Clients First

Posted by Heather Doherty

November 1, 2017 at 1:30 PM

When you and your clients make the mutual decision to engage in a relationship, it generally starts with a shared vision and some level of trust. From there, in order to continually build the relationship, you must go about creating a firm culture that puts your clients first. But what exactly does that entail?

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Topics: Compliance

Meeting Your Fiduciary Duty: Focus on Advisory Account Documentation

Posted by Scott Wilkinson

September 6, 2016 at 10:00 AM

The Department of Labor’s conflict of interest rule is finally here, and predictions abound about accounts being dropped, assets being moved, and products being tabled. It’s still too early to gauge what the overall impact will be, but it’s safe to assume that meeting your fiduciary duty will likely remain a hot topic.

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Topics: Compliance

Should You Hire a Chief Compliance Officer?

Posted by Angela Sarver

August 17, 2016 at 1:30 PM

Compliance is a critical function in your firm, and its importance will only increase as industry regulations become more complex. On top of that, FINRA’s 2016 examinations will focus on how firms integrate compliance into their culture, adding another layer to your duties.

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Topics: Practice Management, Compliance

FINRA’s Culture of Compliance: How Commonwealth Measures Up

Posted by Paul Tolley

August 16, 2016 at 10:00 AM

This year, FINRA is undertaking a review of how broker/dealers establish, communicate, and implement cultural values—and whether a particular firm’s cultural values appear to be guiding its overall business conduct.

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Topics: Compliance

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