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June Compliance Minute 2023
June Compliance Minute 2023
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Monthly Compliance Minute,Monthly Compliance Minute - 2023
7/12/2023: Compliance - Account Periodics go live and Threads is not approved. Product - StepStone's Interval fund becomes a ticker symbol and the Jackson data breach. Presentation by Destra.
7/12/2023: Compliance – Account Periodics go live and Threads is not approved. Product – StepStone’s Interval fund becomes a ticker symbol and the Jackson data breach. Presentation by Destra.
3 views
Weekly Rep Calls – 2023,Weekly Rep Calls – 2023 Jul
6/28/2023: Compliance: Cybersecurity and Fraud risks, Medallion Signature, and Texting PII. Product: NFS Paperwork update for BDA accounts, Schwab/TD Transition, and new eSignature firms. Presentation by Advisors Capital Management.
6/28/2023: Compliance: Cybersecurity and Fraud risks, Medallion Signature, and Texting PII. Product: NFS Paperwork update for BDA accounts, Schwab/TD Transition, and new eSignature firms. Presentation by Advisors Capital Management.
1 views
Weekly Rep Calls – 2023,Weekly Rep Calls – 2023 Jun
6/21/2023: Compliance: Adview deadlines, undeliverable email, and structured products. Product: Practice Management tools now available and Annuity/Insurance study group. Presentation by City National Rochdale
6/21/2023: Compliance: Adview deadlines, undeliverable email, and structured products. Product: Practice Management tools now available and Annuity/Insurance study group. Presentation by City National Rochdale
1 views
Weekly Rep Calls – 2023,Weekly Rep Calls – 2023 Jun
May Compliance Minute 2023
May Compliance Minute 2023
3 views
Monthly Compliance Minute,Monthly Compliance Minute - 2023
April Compliance Minute 2023
April Compliance Minute 2023
1 views
Monthly Compliance Minute,Monthly Compliance Minute - 2023
6/14/2023:Compliance: Trade Review Procedures and Discontinued Forms. Product: Practice Valuation and upcoming Texting Webinars. Presentation by Lincoln Financial Life
6/14/2023:Compliance: Trade Review Procedures and Discontinued Forms. Product: Practice Valuation and upcoming Texting Webinars. Presentation by Lincoln Financial Life
2 views
Weekly Rep Calls – 2023,Weekly Rep Calls – 2023 Jun
6/4/2023: Compliance - Social Media Policies and Account Periodic Announcement. Product - New Bluerock and Apollo Alternative offerings and a change at Pershing Presentation by Pacer Financial
6/4/2023: Compliance – Social Media Policies and Account Periodic Announcement. Product – New Bluerock and Apollo Alternative offerings and a change at Pershing Presentation by Pacer Financial
2 views
Weekly Rep Calls – 2023,Weekly Rep Calls – 2023 Jun
5/31/2023: Preparing for Audit season, Product updates on DWA, and a presentation from Nationwide
5/31/2023: Preparing for Audit season, Product updates on DWA, and a presentation from Nationwide
2 views
Weekly Rep Calls – 2023,Weekly Rep Calls – 2023 May
5/24/2023: Compliance: BIA form reminder and E&O Pricing Product: Jackson RILA, Inland multifamily, and U.S. Energy Oil & Gas Presentation by Bluerock
5/24/2023: Compliance: BIA form reminder and E&O Pricing Product: Jackson RILA, Inland multifamily, and U.S. Energy Oil & Gas Presentation by Bluerock
2 views
Weekly Rep Calls – 2023,Weekly Rep Calls – 2023 May
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