Trade Brains

MAY 6, 2023

Yes Bank was founded in 2003 by Rana Kapoor and Ashok Kapur. The majority of the issues related to Yes Bank were related to corporate governance and compliance. The carrier also lost its flying license during the period. The company has also got its license back recently and may be at the cusp of a turnaround.

Banking 52

Banking License Government Investing 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. And finally, I think it was 2003 or four, I ran into Mitch on the street on, actually on 57th, just around the corner from where we are right now. So any compliance people listening, I’m just spitballing here.

Assets 173

Assets Management Portfolio Marketing 173

Sara Grillo

SEPTEMBER 12, 2022

JR agrees, stating that 70% of CFP holders have insurance licenses. #4 Since 70% of CFP® mark holders have insurance licenses, anything they do on the insurance side (outside of variable products) is not regulated by the SEC. Nothing in this podcast or blog can be interpreted as legal or compliance advice.

CFP 80

CFP Financial Planner Ethics Financial Planning 80