))
EPISODE 7: Legal, Compliance and Freedom – Making Compliance Fun Again! (Part One)
Fetch error
Hmmm there seems to be a problem fetching this series right now.
Last successful fetch was on June 23, 2021 13:17 (
What now? This series will be checked again in the next day. If you believe it should be working, please verify the publisher's feed link below is valid and includes actual episode links. You can contact support to request the feed be immediately fetched.
Manage episode 242361981 series 2545282
Contenido proporcionado por Citywire RIA. Todo el contenido del podcast, incluidos episodios, gráficos y descripciones de podcast, lo carga y proporciona directamente Citywire RIA o su socio de plataforma de podcast. Si cree que alguien está utilizando su trabajo protegido por derechos de autor sin su permiso, puede seguir el proceso descrito aquí https://es.player.fm/legal.
One would never think about putting the words Legal, Compliance and Freedom in the same sentence. Many advisors, in the past, have considered the compliance departments in their old firm the anti-business unit, but that’s because many of those policies and procedures catered to the lowest common denominator of advisors. This unfairly restricted the best advisors and made it difficult to serve their clients. They knew there was a better way, so many sought the freedom that owning their own firm offered, but having that freedom also means having the responsibility to establish and run their new firm in a compliant manner. This episode explores this topic with our panel of experts, Sharron Ash, Chief Litigation Counsel at Hamburger Law Firm, Leigh Emery, Chief Compliance Officer Dynasty Financial Partners, Michael Henley, Founder and CEO of Brandywine Oak Private Wealth and Alison Brooks, Co-Founder and COO of Brandywine Oak Private Wealth.
…
continue reading
3 episodios
Compartir
