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Hurricanes2001
Rookie Joined: Sep/21/2018 Location: miami Status: Offline Points: 5 |
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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
Member Joined: Jul/05/2018 Status: Offline Points: 174 |
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Make at least 10 posts for most of them
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Hacksaw
Platinum Member Joined: Mar/27/2010 Status: Online Points: 31482 |
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Just what we need. Another compliance person.
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Craig78738
Member Joined: Sep/19/2018 Location: Austin Status: Offline Points: 164 |
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Welcome! Good to have a compliance person around. |
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Craig Andrews
Ask me how I helped a RIA achieve their best sales year in 14 years. |
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Purdy
Rookie Joined: Sep/15/2018 Status: Offline Points: 1 |
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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
Rookie Joined: Sep/21/2018 Location: miami Status: Offline Points: 5 |
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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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Moraen
Admin Group Resident Sage Joined: Mar/09/2010 Status: Offline Points: 30786 |
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Feels like we have three too many compliance people.
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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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B24
Moderator Joined: Mar/09/2010 Status: Online Points: 25750 |
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You're a securities compliance attorney, and you are asking US this question.
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"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
Rookie Joined: Sep/21/2018 Location: miami Status: Offline Points: 5 |
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if i knew everything i wouldn't be posting. looking for confirmation of my opinion.
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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
Senior Member Joined: May/18/2013 Status: Offline Points: 980 |
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Is the account discretionary?
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Ordo ad Chao
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A compliance guy that is a Miami hurricanes fan....doesn’t feel right
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Hurricanes2001
Rookie Joined: Sep/21/2018 Location: miami Status: Offline Points: 5 |
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now that was funny. we just don't cheat as effectively as teams in the SEC.
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