The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Compliance 162

Compliance Clients Wealth Management Management 162

International College of Financial Planning

JUNE 14, 2023

It is important to note that a new NISM certification must be obtained before the expiry of the existing certificate to ensure compliance with guidelines. Upon receiving the fees, SEBI will issue the SEBI Registered Investment Advisor License, while BASL will issue a membership certificate.

Investment Advisor 52

Investment Advisor Investing Investments Certification 52

The Big Picture

AUGUST 20, 2024

We were one of the last to get what’s called a value added license to the compus stat database. So any compliance people listening, I’m just spitballing here. The Russell 2000 has 2000 out of the roughly 3,500 stocks available publicly traded. That actually is exactly what we ended up doing.

Assets 173

Assets Management Portfolio Marketing 173

Sara Grillo

JUNE 20, 2022

But nothing was done until I voice that frustration and an email to compliance or to HR, I forgot who it was, did anything actually get done, ’cause from that conversation with that partner until the time I re-located to my practice to Tampa, I think it was probably about six months or so.

Financial Advisor 52

Financial Advisor Sales Commission Clients 52

The Big Picture

JANUARY 24, 2023

KLINSKY: That was a super hot theme in the year 1999 and 2000. RITHOLTZ: — and having the guy — the attendant asked me, do you have an even number or odd number license plate? RITHOLTZ: My answer was, I’m 11, I don’t have a license plate, just give the kid a gallon of gas. KLINSKY: Right.

Investing 263

Investing Investments Numbers Banking 263

The Big Picture

SEPTEMBER 5, 2023

And the reason why I say that is, in 2000, January 1st of 2018, the federal SALT tax was initiated. RITHOLTZ: Just, I’m not a big Instagram fan, and I’m certainly not a Facebook fan, but I’m on Threads waiting for compliance to give me approval to start threading, tweeting, I don’t even know what you would call it.

Sales 130

Sales Numbers Marketing Marketing 130

The Big Picture

NOVEMBER 25, 2024

Would you license these models to me? You know, you run an RIA, the SEC just comes knocking every once in a while to say, Hey, just wanna make sure the compliance program’s all set up. And I think that helped fuel the smart beta boom of the 2000 tens. I’m a broke college student who needs some beer money.

Portfolio 147

Portfolio Management Marketing Marketing 147