Category: OSJ/Large Enterprise

Nov
18
Office of Supervisory Jurisdiction: Key to Compliance and Oversight for Financial Professionals
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...
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Oct
14
How an OSJ Can Help You Prepare for an SEC Audit
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...
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Sep
16
Transform Your Financial Advisory Practice With the Help of an OSJ
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,...
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Aug
12
Is Your Advisory Firm Too Small for a Major Custodian? Consider an OSJ
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...
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Jul
22
Compliance Tasks Simplified With the Help of an OSJ
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...
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Jun
24
Quiz Yourself To See if Hiring an OSJ Makes Sense for Your Firm
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...
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May
6
Reducing NIGOs With the Help of an OSJ
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...
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Mar
11
Case Study: How Financial Advisors Leverage the Power of an OSJ
Case Study: How Financial Advisors Leverage the Power of an OSJ
Let’s face it: being a successful independent financial professional requires more than planning and investment expertise. In today’s competitive environment, you need a way to...
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Feb
12
How an OSJ Can Help Financial Professionals Contain Costs
How an OSJ Can Help Financial Professionals Contain Costs
How an OSJ Can Help Financial Professionals Contain Costs Happy New Year! It’s that time again when we set fresh resolutions. For some, it’s about...
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Jan
22
Simplify Compliance: How an OSJ Can Improve Your Marketing Results
Simplify Compliance: How an OSJ Can Improve Your Marketing Results
As an independent financial professional, you have to wear several hats that contribute to the growth and stability of your firm. One of the easier...
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