Background Broker/dealers and investment advisers are required to maintain compliance policies and procedures, also known as written supervisory procedures. The maintenance and establishment of compliance policies and procedures proves to be a daunting task that is a considerable time commitment. Compliance professionals and departments frequently have difficulty in timely updating policies either due to time, … read more
Archives for May 2013
The National Speaker and Marketing Company Expanding their Reach
Background A well-known national speaker was seeking to expand the use of his seminars among financial professionals. He had engaged a national marketing company to assist in the design and marketing of his seminar program. The national speaker and marketing company had found over time that a lot of broker/dealers would not permit the use … read more