Compliance Engineering Investment Advisor 
Midstream Marketing
OCTOBER 30, 2024
Introduction In today’s changing finance world, registered investment advisors (RIAs) must comply with the provisions of the marketing rule, including entering into a written agreement, and must not include any untrue statement of a material fact to stand out from others. A strong brand identity works like a magnet.
The Big Picture
AUGUST 26, 2022
Doing this puts the probabilities more on their side, with the bonus that fewer regulatory headaches, legal liability, and compliance issues occur – they more or less go away if you manage this kind of model properly. Now if only the Sell-side would get religion about fiduciary standards, I would stop hating on them so much.
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Midstream Marketing
JANUARY 19, 2025
One of the biggest challenges that most investment advisors face involves not just getting found online via search engines like Google, but getting found by the right audience at the right time – meaning a local one. A lot has changed even in the 40 years since the Investment Advisor’s Act was last amended.
Trade Brains
NOVEMBER 5, 2024
This microcap engineering company is engaged in manufacturing plastic engineering components and sub-assemblies after reporting a 67 percent growth in net profits. They derive their revenue from the manufacturing of plastic engineering components and sub-assemblies as of FY24. The stock was at Rs.
Midstream Marketing
MARCH 21, 2023
This could be a potential goldmine for scheduling consultations with quality prospects ready to talk to an advisor. Can independent registered investment advisors get into the Google Local Pack? The deadline for embracing the new SEC rules is this November, so I suggest all RIAs to start pivoting now.
The Big Picture
FEBRUARY 6, 2024
That led me down that track and really well, I had a software engineering job. Let, 00:04:08 [Speaker Changed] Let’s lead up to that transition software engineer at IBM, then you get your PhD, then research at Siemens, which seems to be more of a technological position than a finance position. My audio engineer is Kaylee Ro Tika.
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. Bob Bragg is my audio engineer. You’re suggesting that’s the money-loser for that company? BERRUGA: Yeah. RITHOLTZ: So let’s talk about some more of these ETFs. I’m Barry Ritholtz.
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