Compliance Ethics Portfolio Management 
International College of Financial Planning
MARCH 31, 2023
The program comprises of six modules that cover a range of topics related to wealth management: Module 1: Introduction to Wealth Management Introduction to Wealth Management Wealth Management Process Wealth Management Strategies Module 2: Financial Planning & Analysis Introduction to Financial Planning Analysis of Financial Statements (..)
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. We have our portfolio management team, our portfolio administration team, just to make sure in terms of liquidity capacity of the strategy make sense. BERRUGA: Yeah.
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The Big Picture
FEBRUARY 28, 2023
One of the things we haven’t talked about, if you’re appealing more to individual investors, typically, that comes along with regulation and compliance standards and oversight from the government — LAYTON: Yup. My dad was a business person and had a tremendous work ethic. RITHOLTZ: Really interesting.
Sara Grillo
SEPTEMBER 26, 2022
I do believe it should be different regulated differently from portfolio management, which is the typical definition of the registered investment advisor, but that it shouldn’t be the CFP Board that is controlling the regulatory environment for financial planners. Salaske: Right, now.
The Big Picture
JANUARY 14, 2025
Maybe we should do this out from under the compliance regulations of a broker dealer? You were a portfolio manager, researcher head of trading, and apparently tech geek putting machines together. And I’ve interviewed hundreds if not thousands of portfolio managers and worked with develop many strategies of my own.
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