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?

Read More

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.

Read More

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.

Read More

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.

Read More

Topics: Compliance

Dropping Your FINRA Registrations: A View from Compliance

Posted by Scott Wilkinson

July 6, 2016 at 1:30 PM

A few years back, my wife and I decided to have a child. We read What to Expect When You’re Expecting. We took birthing classes. We built the crib and packed the hospital bag. Everything was going according to plan—until it wasn’t. My daughter changed positions at the last moment and was delivered by emergency cesarean about an hour later. Fortunately, everything turned out fine, and our little girl has brought endless joy to our lives.

Read More

Topics: Compliance

Commonwealth Business Review
5 Ways to Affiliate
The Independent Market Observer, Brad McMillan

Follow Us