QUARTERLY FINANCIAL ADVISOR COMPLIANCE CALLS
Because we place such a high emphasis on our core competency of financial advisor compliance and supervisory oversight, we feel it is imperative to keep our advisors abreast of any new developments or trends in that arena. To this end, Private Advisor Group hosts quarterly calls to review any new compliance and/or regulatory requirements that may have changed as of late. These conversations often expand to include other relevant and timely topics. Often times, these hour long calls will review any new processes or procedures required of a financial advisor or staff in order to adhere to new regulations. Some recent changes have been in light of the Department of Labor ruling on retirement plan assets and how to comply with the rule. PAG will deliver a presentation and outline changes and then open the floor for questions from participants on the call.
Market Update Calls
Led by Guy Adami, Private Advisor Group’s Director of Advisor Advocacy and noted reporter on CNBC’s FastMoney, these quarterly market update calls are designed to keep our advisors abreast of emerging trends in the markets. Formatted in a way to encourage open dialog, our advisors have the opportunity to hear from an expert while voicing their own opinions and soliciting feedback from one another.