- There are 3 a priori areas SEC examiners closely look at: any rule violations, policies and procedures and best practices
- Social media--especially across mobile platforms--is no longer an option for brand building and brand reinforcement
- Portfolio managers must explain the "what has happened" story in simple english while investors want to understand "why this happened"
- Compliance officers and examiners believe Facebook "likes" and LinkedIn "recommendations" are potential testimonials and endorsements
- The DOL Fiduciary Rule that takes effect April 2017 is a notable plus for consumers and a sizeable administrative challenge for some of the larger firms
St. Germain Investment Management are privately owned, independent & leading investors since 1924 with clients throughout the USA & 10 other countries. We have been managing asset investments based on our client's goal while delivering exemplary & personalized service.
Friday, August 26, 2016
Just Back from the Marketing & Compliance Forum
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2017 1st Quarter Capital Markets Update is available and can be viewed by clicking here .
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U.S. payroll slowed in August after nearly 2-months of gains. Click here for the story.
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