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Hurricanes2001 View Drop Down
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    Posted: Sep/21/2018 at 2:14pm
Greetings to the Board. I am an attorney that handles compliance for a medium size RIA in south florida. Can anyone tell me how to get access to the subforums such as compliance etc. 
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DRCap View Drop Down
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Post Options Post Options   Thanks (0) Thanks(0)   Quote DRCap Quote  Post ReplyReply Direct Link To This Post Posted: Sep/21/2018 at 2:28pm
Make at least 10 posts for most of them
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Hacksaw View Drop Down
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Post Options Post Options   Thanks (0) Thanks(0)   Quote Hacksaw Quote  Post ReplyReply Direct Link To This Post Posted: Sep/21/2018 at 2:30pm
Just what we need.  Another compliance person.
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Post Options Post Options   Thanks (0) Thanks(0)   Quote Craig78738 Quote  Post ReplyReply Direct Link To This Post Posted: Sep/21/2018 at 10:10pm
Originally posted by Hurricanes2001 Hurricanes2001 wrote:

Greetings to the Board. I am an attorney that handles compliance for a medium size RIA in south florida. Can anyone tell me how to get access to the subforums such as compliance etc. 

Welcome! Good to have a compliance person around.

Craig Andrews

Ask me how I helped a RIA achieve their best sales year in 14 years.
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Purdy View Drop Down
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Post Options Post Options   Thanks (0) Thanks(0)   Quote Purdy Quote  Post ReplyReply Direct Link To This Post Posted: Sep/22/2018 at 6:24am
Well, you're not gonna like me either then, Hacksaw. Hello to the community from myself too. Another compliance person. haha


Edited by Purdy - Dec/03/2022 at 6:47am
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Hurricanes2001 View Drop Down
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Post Options Post Options   Thanks (0) Thanks(0)   Quote Hurricanes2001 Quote  Post ReplyReply Direct Link To This Post Posted: Sep/25/2018 at 2:55pm
well i have a question and i can't post in any of the other forums so i will try here. we are a federally registered RIA with no BD affiliation. does the person who enters orders here at my firm have to have any kind of license. they do not talk to customers.  i do not believe they do but someone in my firm has raised this issue.
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Post Options Post Options   Thanks (0) Thanks(0)   Quote Moraen Quote  Post ReplyReply Direct Link To This Post Posted: Sep/25/2018 at 2:57pm
Feels like we have three too many compliance people. 
I come in peace. I didn’t bring artillery. But I’m pleading with you, with tears in my eyes: If you fuck with me, I’ll kill you all. - General James Mattis

Fiduciary as Fuck - iMo
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Post Options Post Options   Thanks (0) Thanks(0)   Quote B24 Quote  Post ReplyReply Direct Link To This Post Posted: Sep/25/2018 at 3:21pm
Originally posted by Hurricanes2001 Hurricanes2001 wrote:

well i have a question and i can't post in any of the other forums so i will try here. we are a federally registered RIA with no BD affiliation. does the person who enters orders here at my firm have to have any kind of license. they do not talk to customers.  i do not believe they do but someone in my firm has raised this issue.

You're a securities compliance attorney, and you are asking US this question. Confused
"If Bellicheat pulls that rabbit out of his a$$ with this kid at quarterback, I'll personally kiss his ring." - Sporsfreak, 09/20/16

"Jags/Vikes Super Bowl. Write it down" - Sportsfreak 01/19/18
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Hurricanes2001 View Drop Down
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Post Options Post Options   Thanks (0) Thanks(0)   Quote Hurricanes2001 Quote  Post ReplyReply Direct Link To This Post Posted: Sep/25/2018 at 4:04pm
if i knew everything i wouldn't be posting.  looking for confirmation of my opinion. 
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Guests View Drop Down
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Post Options Post Options   Thanks (1) Thanks(1)   Quote Guests Quote  Post ReplyReply Direct Link To This Post Posted: Sep/25/2018 at 4:37pm
To take the trade order from a client, yes. To enter the order after someone that is licensed has taken the order, no.
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conquistador04 View Drop Down
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Post Options Post Options   Thanks (0) Thanks(0)   Quote conquistador04 Quote  Post ReplyReply Direct Link To This Post Posted: Sep/25/2018 at 4:58pm
Is the account discretionary?
Ordo ad Chao
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Post Options Post Options   Thanks (0) Thanks(0)   Quote Guests Quote  Post ReplyReply Direct Link To This Post Posted: Sep/25/2018 at 5:36pm
A compliance guy that is a Miami hurricanes fan....doesn’t feel right
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Hurricanes2001 View Drop Down
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Post Options Post Options   Thanks (0) Thanks(0)   Quote Hurricanes2001 Quote  Post ReplyReply Direct Link To This Post Posted: Sep/26/2018 at 9:20am
Originally posted by bc2051 bc2051 wrote:

A compliance guy that is a Miami hurricanes fan....doesn’t feel right

now that was funny. we just don't cheat as effectively as teams in the SEC. 
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