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

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.

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Topics: Compliance

Navigating Client Relationships: 5 Potential Scenarios

Posted by Heather Doherty

January 27, 2016 at 1:30 PM

Among the most rewarding experiences that you have as an advisor is developing relationships with your clients and their families. As you help your clients pursue their investment-related goals and objectives, interesting and/or challenging scenarios are bound to arise. These may include issues surrounding aging clients, significant life events, and changes in marital relationships, just to name a few.

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Topics: Compliance

Managing Client Expectations: How to Answer 3 Common Questions

Posted by Jaime Whiteman

January 19, 2016 at 10:00 AM

As a former auditor, I’ve been inside the offices of many financial advisors, giving me the opportunity to see plenty of best practices in action. But as I reflect on these auditing experiences, I realize that I’ve been asked a similar question by numerous advisors: “What are other advisors doing to manage client expectations?”

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Topics: Compliance

Managing Risk in Your Client Relationships

Posted by Stephanie Surette

March 25, 2015 at 1:30 PM

For business owners, the ability to identify risk is critical. Some risks, like client complaints and regulatory reviews, are inherent to the financial services industry. And in some situations, such as managing risk in your client relationships, you'll find risks you can control and those, unfortunately, that you can't.

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Topics: Compliance

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