Midstream Marketing

DECEMBER 10, 2024

You can include polls and offer downloadable materials as well. Navigating Regulatory Compliance in Marketing For financial advisors, it is very important to follow rules. One good practice is to have a compliance officer check and approve all marketing materials before sharing them. It helps create a record for compliance.

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 52

The Big Picture

FEBRUARY 28, 2023

You can stream and download our full conversation, including any podcast extras, on iTunes , Spotify , Stitcher , Google , YouTube , and Bloomberg. My dad was a business person and had a tremendous work ethic. The transcript from this week’s, MiB: David Layton, CEO of Partners Group , is below. RITHOLTZ: Really interesting.

Investments 147

Investments Clients Investing Assets 147

The Big Picture

DECEMBER 6, 2022

You can stream and download our full conversation, including the podcast extras on iTunes , Spotify , Stitcher , Google , YouTube , and Bloomberg. But when you factor in, you know, legal costs, compliance, portfolio management, trading, there is a lot that goes into launching an ETF.  . Transcript: MiB: Luis Berruga, Global X ETFs.

Clients 162

Clients Investing Investments Management 162

Tucker Advisors

AUGUST 9, 2021

When advisors are not fiduciaries, they follow what is called the “suitability” requirement, which is basically an ethical call to follow the same prioritization of interests. Download Your Free Referral Marketing Guide. Download The Guide. Five-Part Test for Status as an Investment Advice Fiduciary. The client?

Financial Advisor 52

Financial Advisor License Clients Insurance 52

The Big Picture

DECEMBER 14, 2022

You can stream and download our full conversation, including the podcast extras on iTunes , Spotify , Stitcher , Google , YouTube , Bloomberg. RITHOLTZ: Are we going to get a red flag from a compliance, or is that an official statement we could use? All of our earlier podcasts on your favorite pod hosts can be found here. ~~~.

Assets 162

Assets Investing Investments Portfolio 162

The Big Picture

JANUARY 14, 2025

You can stream and download our full conversation, including any podcast extras, on Apple Podcasts , Spotify , YouTube , and Bloomberg. Maybe we should do this out from under the compliance regulations of a broker dealer? The transcript from this weeks, MiB: Brian Hurst, ClearAlpha , is below. And then how much longer was it before?

Management 147

Management Investing Investments Assets 147