Author: Chris Virgil
Jan
6
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Strengthening Integrity and Compliance With an Office of Supervisory Jurisdiction
Independent financial professionals face the challenge of competing with large Wall Street firms, particularly in conveying safety, trust, and compliance to clients. While larger firms...
Dec
16
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How an OSJ Can Propel the Growth of Your Financial Advisory Business
Are you looking to streamline your processes while focusing on expanding your client base and services? An Office of Supervisory Jurisdiction (OSJ) is a strategic...
Nov
18
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Office of Supervisory Jurisdiction: Key to Compliance and Oversight for Financial Professionals
Struggling to keep up with strict protocols for investment recommendations, client interactions, and constant compliance updates? It’s not uncommon for financial professionals to feel uncertain...
Oct
14
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How an OSJ Can Help You Prepare for an SEC Audit
As the owner of an independent financial advisory firm, you’re responsible for all aspects of your practice, including compliance, operations, marketing, and all other aspects...
Sep
16
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Transform Your Financial Advisory Practice With the Help of an OSJ
Running your financial advisory practice has never been more challenging, even for the most experienced financial professionals. Given today’s increased compliance scrutiny, rapid technological advancements,...
Aug
12
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Is Your Advisory Firm Too Small for a Major Custodian? Consider an OSJ
When small financial advisors apply to use the services of a brand name custodian, they often face significant challenges, such as high asset thresholds and...
Jul
22
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Compliance Tasks Simplified With the Help of an OSJ
As financial professionals, you face a constant barrage of complex regulations. Staying compliant with these regulations can be a significant burden, consuming valuable time and...
Jun
24
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Quiz Yourself To See if Hiring an OSJ Makes Sense for Your Firm
Are you finding it time-consuming and increasingly difficult to maintain an efficient compliance process? Weak supervisory structures could leave your firm exposed. One solution that...
May
6
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Reducing NIGOs With the Help of an OSJ
As financial professionals, you understand the importance of accuracy and efficiency in your operations. However, one persistent operational challenge can significantly impact your firm’s productivity...
Apr
8
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The OSJ Revolution: It’s Reshaping Marketing for Financial Advisors
Traditionally, OSJs have been known for their regulatory services, ensuring financial advisors comply with industry rules and regulations and providing supervisory functions for independent financial...
