Advisor Perspectives

MAY 7, 2024

Outside Business Activities (OBAs) are more than just side hustles for financial advisors – they’re ethical minefields that have drawn increasing scrutiny from regulatory bodies like FINRA.

Ethics 49

Ethics Compliance Financial Advisor 49

The Big Picture

DECEMBER 6, 2022

But when you factor in, you know, legal costs, compliance, portfolio management, trading, there is a lot that goes into launching an ETF. BERRUGA: In December of 2018, we launched our full suite of China sector ETFs, tracking MSCI indices, and it was a direct reaction to client demand. BERRUGA: Yeah. It was a big drop. BERRUGA: Yeah.

Clients 162

Clients Investing Investments Management 162

Brown Advisory

JUNE 12, 2017

Buffett and Munger celebrate good business and investment practices, the potential for human achievement, high ethics and decency to one’s fellow man. All the big brokerage firms have large compliance departments, and they should. 2018 Annual Shareholders Meeting The 2018 meeting will occur on Saturday, May 5, 2018, in Omaha, Nebraska.

Investments 52

Investments Investing Ethics Taxes 52

Brown Advisory

JUNE 12, 2017

Buffett and Munger celebrate good business and investment practices, the potential for human achievement, high ethics and decency to one’s fellow man. All the big brokerage firms have large compliance departments, and they should. 2018 Annual Shareholders Meeting. annualized compared with 6.9%

Investments 52

Investments Investing Ethics Taxes 52

The Big Picture

FEBRUARY 28, 2023

Between, you know, the 2018 time period and 2021, the public markets experienced multiple expansion on an EV to EBITDA basis of about 11, 12 times, historically. My dad was a business person and had a tremendous work ethic. And so, let me just create a little bit of context for — RITHOLTZ: Sure. RITHOLTZ: Really interesting.

Investing 147

Investing Investments Clients Assets 147

Sara Grillo

SEPTEMBER 26, 2022

Wright: Yes, So yes, is the quick answer, the more convoluted answer would be that we should control internally… We’re a fraternity of ethics and competency testing that should be different from the SEC. Salaske: Right, now.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Sara Grillo

SEPTEMBER 12, 2022

Get ready for a ride as we examine it from all angles: regulatory, ethically, intellectually, etc. If we are comparing them to the Utopian idea of what a fraternity of ethics and competence testing should be, then we should find a way to implement it because daydreaming about what it ought to be is less useful.

CFP 80

CFP Financial Planner Ethics Financial Planning 80