Webinar Replays
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Investment Company Code of Ethics and Personal Trading Requirements
Thursday Jan 12, 2012
Speaker(s): Kristin McCann and Tracey Straub
Details: In this webinar, we will discuss the administration of a Code of Ethics and Personal Trading Policy. We will also discuss the benefits of automation and cost-saving solutions for investment advisors. This presentation will be led by Kristin McCann, Gemini Fund Services Compliance Officer, and Tracey Straub, Director at Compliance11, Inc., a subsidiary of The Charles Schwab Corporation.
Constructing ETF Portfolios and Screening ETFs
Thursday Jan 5, 2012
Speaker(s): Paul Weisbruch, Street One Financial
Details: In this webinar, Street One Financial covers the basics of volume/liquidity and screening the universe of ETFs to isolate the best fit among the 1400+ ETF/ETNs available based on matching client/portfolio objectives.
Develop & Protect Your Personal & Business Brand
Tuesday Nov 22, 2011
Speaker(s): Sam Richter, SVP/Chief Marketing Officer, ActiFi
Details:
Today's instant communication world makes it easy to share opinions. Much of what is posted online, texted and emailed is not as private as you may think. There’s a good chance what you say and what is said about you and your company is searchable and archived forever. Sam Richter shared what a "personal brand" is and provide practical ideas to improve and manage your brand. He also provided insights on the dangers of sharing too much information and how to respond if you don't like what someone shares about you or your company.
Get the Most From Your Distribution Efforts
Wednesday Oct 19, 2011
Speaker(s): Michael Herndon, NAVCAP
Details: Walk through the expectations a business owner in the financial industry has to have when it comes to distribution efforts. Whether you have in-house sales people or choose to outsource, Mike shares his knowledge on key points to make the most of your results when it comes to distribution.
Using and Monitoring Social Media as an RIA
Thursday Oct 13, 2011
Speaker(s): Kristin McCann and Janelle Hardy
Details: In this webinar, we discuss the rules of social media and how you should monitor it's use as an RIA. This presentation was led by Kristin McCann, Gemini Fund Services Compliance Officer, and Janelle Hardy, Director of Rep Supervision & Education, Northern Lights Distributors, LLC.
Marketing & Distribution Strategies to the Wealth Management Industry
Tuesday Sep 27, 2011
Speaker(s): Timothy Welsh, Nexus Strategy, LLC
Details: Leveraging the services of marketing, distribution and public relations firms can be beneficial as well as challenging. Learn more about navigating these services on our September Best Practices call featuring Timothy Welsh, Founder, of Nexus Strategy, LLC.
What's Next? A Boomer's Guide to Retirement
Tuesday Aug 16, 2011
Speaker(s): Steve and Joan Carter, Co-Owners, Life Options Institution
Details: The definition of "retirement" is changing as the first of the baby boomer generation formally "comes of age". Listen to this playback for a discussion on dispelling retirement myths and discussing work interests, options and requirements for the baby boomer generation.
Investment Adviser Registration - Final Rules
Thursday Jul 21, 2011
Speaker(s): Michael Barolsky, Thompson Hine LLP and Emile Molineaux, Gemini Fund Services, LLC
Details: On June 22, 2011, the SEC adopted final rules implementing new requirements for Adviser Registration that will, among other things, increase the statutory threshold for registration with the SEC, require advisers to hedge funds and other private funds to register with the SEC, and require reporting by certain investment advisers that are exempt from registration. In addition, the SEC is creating exemptions from the registration requirements for advisers to certain privately offered investment funds, is amending the “pay to play” rule, and is implementing other changes mandated by the Dodd-Frank Act.
In this webinar presented by Michael Barolsky of Thompson Hine LLP, find out how the new Rules affect your registration requirements.
A Coaching Strategy to Achieve Goals for Your Business
Tuesday Jul 19, 2011
Speaker(s): Brian Kostick, Director of Consulting Services at ActiFi
Details: A business coach can help translate ideas into tangible actions, prioritize activities, and find solutions to issues and obstacles. Find out more about how a coach can provide the added momentum to take your business to the next level on this call.
Tools and Efficiencies You'll Need to Penetrate the Qualified Plan Market
Tuesday Jun 21, 2011
Speaker(s): Gerrit Fedele, COO, The Advisor Lab, LLC
Details: Most Advisors agree that being in the qualified plan market is a good idea but just getting started can be a challenge. In this call, you will learn more about entering – and becoming successful - in the qualified plan marketplace. Our featured speaker was Gerrit Fedele, Chiefs Operating Officer from The Advisor Lab, LLC, Professional Capital Services.