Category: OSJ/Large Enterprise
Mar
10
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Feeling Isolated? How an OSJ Partnership Provides the Support System You Need
Running an independent financial practice offers flexibility and control, but it also comes with challenges—especially isolation. Many financial professionals juggle compliance, operations, and client service...
Feb
17
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Struggling To Scale? Unlock Growth With an OSJ’s Strategic Guidance
Every business faces pressure to grow—whether through hiring staff, expanding services, mergers, or increasing marketing efforts. Each path has pros and cons, especially for independent...
Feb
4
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7 Important Questions To Ask an OSJ
Editor’s Note: This post was originally published in April 2023 and has been completely revamped and updated for accuracy and comprehensiveness. It may make sense...
Jan
30
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Combat Compliance Fatigue With the Help of an OSJ
As an independent financial professional, you’re familiar with running your firm based on the industry’s stringent regulatory requirements. Keeping up with the changes may sometimes...
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...
