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2014 Articles of Interest

Where compliance meets business….

Nicknames abound – the sales prevention group, the necessary evil, the wet blanket division…just a few of the more common references.  Does this cultural blind spot filter right up to the executive team?  Allow me to share with you a quick story.

A financial services firm had wanted to expand its product offering but was troubled with what would be best received by their clients.  The executive team, working with the head of marketing decided to survey their top clients with a simple questionnaire.  Marketing decided that the survey would be more likely to be returned if the client’s financial advisor sent out the survey – innocent enough. The selected financial advisors (all top producers) chose their top clients and sent out the survey. Click here to read more

What Do I Need To Know- Going Independent

The independent model is for the entrepreneur willing to accept a greater risk/reward. You shoulder more risk while enjoying more of the success, or at least that’s the plan. The independent model allows you to build value beyond a salary and commission. Supported by your own vision, product and service offering, marketing & sales efforts as well as succession plan, the upside belongs to you.  Click here to read more

Year-end compliance; are you ready?

The summer is quickly coming to an end and your compliance year-end tasks are now in front of you. Have you reviewed your checklist of required exams and tests? Have you reviewed and updated your compliance manuals with current rule number changes and amendments? There were several significant changes again this year with the continued implementation of Dodd-Frank and the FINRA Rule Book consolidation. Additionally, the SEC & FINRA Routine Exam program have become more vigorous. The exam will now be even more focused on your policies and procedures and their alignment with current regulations. Click here to read more

Enterprise Valuation Planning – preparing for the future…

RegMaven’s business is founded on working with clients on building, effecting and monitoring sound compliance practices based on your business model, risks and resources. Our belief is that this method is uniquely aligned with all functional areas of your business, e.g. sales, marketing, branding, finance, management, HR, operations, etc  Click here to read more

Your Business’ Enterprise Value – Where Compliance Meets Business

As a businessperson you enjoy a distinctive DNA. You create success through creativity, vision and the assumption of risk. You prefer to have control over your personal and professional life. Working for a large company or taking direction from someone else is just not in your genes. You are extremely passionate about your vision. Click here to read more

How do I recognize if my Compliance Program is effective?

Is there a standard by which you can gauge the effectiveness of your compliance program? Sure, besides the obvious – regulatory exam findings. You can periodically review the following:. Click here to read more

“Never-Before Examined” – A new club?

Last week the SEC Office of Compliance Inspections and Examinations (OCIE) put on notice a sweep program to exam those firms that have been registered for more than three years and not as yet visited by the SEC.  If you have not received the letter you will soon..  Click here to read more

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