FIF has scheduled a call for the Compliance and Surveillance Working Group for Tuesday July 11 at 2 pm ET to discuss expanded surveillance by FINRA based on CAT data. FINRA representatives have noted to FIF members that FINRA is enhancing its surveillance routines based on CAT data. FIF members will discuss expanded surveillance by FINRA and potential steps industry members could take to enhance their internal surveillance in response to FINRA’s enhanced surveillance.
Wir bieten unseren Kunden mit nützlichen Informationen und Ratschläge, die sie benötigen, fundierte Entscheidungen zu treffen, ihre Ziele zu erreichen. Ob es sich um die Verwaltung von Kundeninvestitionen oder einen umfassenden Plan für sie zu schaffen und ihre Familie sind unsere zertifizierten Planern gewidmet mit einem außergewöhnlichen Service zu bieten.
Deshalb, im Laufe der Jahre konnten wir einen Ruf als einer der besten unabhängigen Beratern zu bauen. Wir verstehen die Bedeutung der Kunden auf dem richtigen Weg zum Erfolg bringen, und wir sind bereit, mit ihnen der Planung in allen Bereichen zu arbeiten.
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