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EPISODE 7: Legal, Compliance and Freedom – Making Compliance Fun Again! (Part One)
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Citywire RIA에서 제공하는 콘텐츠입니다. 에피소드, 그래픽, 팟캐스트 설명을 포함한 모든 팟캐스트 콘텐츠는 Citywire RIA 또는 해당 팟캐스트 플랫폼 파트너가 직접 업로드하고 제공합니다. 누군가가 귀하의 허락 없이 귀하의 저작물을 사용하고 있다고 생각되는 경우 여기에 설명된 절차를 따르실 수 있습니다 https://ko.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.
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