Thank you to our valued sponsors!
Charles Schwab Compliance Solutions
Compliance Solutions’ employee-monitoring offer includes Schwab Designated Brokerage Services, Schwab Compliance Technologies™, and a wide range of financial products and services for employees. These solutions can help you proactively manage compliance, promote a positive employee experience, build long-term value across your business, and instill trust with clients. Please visit www.schwab.com/compliancesolutions.
Raymond James
Raymond James Financial, Inc.
(NYSE: RJF) is a leading diversified financial services company providing
private client group, capital markets, asset management, banking and other
services to individuals, corporations and municipalities. The company has 7,200
financial advisors serving approximately 3 million client accounts in more than
2,900 locations throughout the United States, Canada and overseas. Total client
assets are $649 billion. Public since 1983, the firm has been listed on the New
York Stock Exchange since 1986 under the symbol RJF. Additional information is
available at www.raymondjames.com.
Sage Marketing
At Sage Marketing we help advisors feel confident about their marketing strategy. We work with advisors to help attract new clients, communicate more effectively with existing clients, and keep the clients that they currently have. We offer turn-key marketing support which includes all of the content advisors would need to send to clients and prospects on a variety of topics, a full coaching program which focuses on driving growth in practices, and a digital marketing platform which uses paid advertising on social media to generate leads.
Smarsh
For compliance and risk professionals, electronic communications are often where the “smoking gun” is found. The exponential proliferation of these electronic records makes finding these needles in the haystacks challenging. Day-to-day monitoring can become more time-consuming and inefficient, especially as compliance programs designed for paper communication (or even email) haven’t scaled for today’s social and mobile workforce.
Organizations need to be able to search and produce the right content at the right time, especially when the regulator comes calling. They also need to demonstrate that the policies that are in place to govern usage of electronic communications are being enforced and are working as designed.
Smarsh helps organizations of all sizes manage the retention and oversight regulatory obligations for electronic communications from the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), Federal Financial Institutions Examination Council (FFIEC), Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), Financial Conduct Authority (FCA), Investment Industry Regulatory Organization of Canada (IIROC) and other similar governing bodies around the world.
We only have a few sponsorship opportunities left for this event.
Please contact Caroline Kirkfield-Chick for more details:
Email ckirkfieldchick@ncsregcomp.com or call 603-437-7233.
