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Financial Advisors: managing compliance

Whether you have just set up your independent practice or have already established a solid track record in the fields of financial and investment management, you will find that your most difficult area of administration will be the compliance obligations and onerous recordkeeping required in today’s current business and regulatory environment.

The pressure to observe all constraints in a timeous, detailed and accurate manner is both time-consuming and tedious. In tandem with this increase in paperwork and application are a number of issues which add to the stress:

  • clients’ expectations have grown as an ever-growing spectrum of investment opportunities become available
  • the investment environment is becoming increasingly complex and therefore more difficult to manage
  • fees and commissions are constantly under pressure.
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