Remove Compliance Remove Definition Remove Portfolio Management
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Buy This, Sell That? Please Don’t…

The Big Picture

We have regulatory and compliance obligations around what we say and do in public, and we do our very best to make sure that what we put out is accurate. Ritholtz Wealth Management is a registered investment advisor or RIA. Active portfolio management strategy? ” Because we are not. We released an explanation?

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Transcript: Luis Berruga, Global X ETFs

The Big Picture

And definitely, their retail market participation is significantly lower than you can see in the U.S. But I think it’s definitely changing, Barry, because, you know, you see more and more fintech platforms and robo-advisors that in a way, are making accessing financial markets easier for more and more investors in in Spain.

Clients 162
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Transcript: Tom Hancock, GMO

The Big Picture

Now I do fundamental side research portfolio management, which I just, 00:08:20 [Speaker Changed] So, so you joined GMO, there’s 60 people, 30 years. And ev all the sort of compliance, client service, legal, kind of, everything was done sort of on the side by investment people. They’ve grown tremendously.

Valuation 130
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Becoming a SEBI Registered Investment Advisor: A Complete Guide

International College of Financial Planning

Definition of an Investment Advisor In simple terms, an investment advisor actively provides investment-related advice to individuals, groups, or companies. It can involve guidance on buying or selling securities, portfolio management, and other relevant financial products.

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Transcript: Mike Green, Simplify Asset Management

The Big Picture

Definitely 00:07:32 [Speaker Changed] True. So after a successful run at Canyon, you stand up your own fund, ice Farm Capital, you’re seated by Soros Fund Management. So any compliance people listening, I’m just spitballing here. So let, 00:21:37 [Speaker Changed] Let me push back on that definition a little bit.

Assets 173
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Seven ways to talk your financial execs out of jargon and bad writing

Investment Writing

They want to understand their investments without learning the definitions to unfamiliar words,” according to “ New Word Order ,” part of the Invesco White Paper Series ( highlights available online ). Next, consider ways to satisfy the compliance department’s concerns. It’s entertaining.

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Municipal SMAs: Behind the Velvet Rope of Regulation

Brown Advisory

2 The SEC’s Enforcement Division introduced the Municipal Continuing Disclosure Cooperative Initiative in early 2014 to encourage self-reporting of possible securities law violations, especially in situations when entities misrepresented their compliance with continuing disclosure obligations. The results were discouraging.