FIN Compliance

05/03/2023

Support - The desperation— to make some extra cash “can” be a trap. Yes, it's really hard for many to deal with rising costs…but there are legit/solid ways to make honest money…these fraud cases (the ones that make the news) happen way too often. There are places to research registered offerings (which doesn’t guarantee its good or suitable), but at least that is a start…..Yes, there is some risk you have to take (for anything) for learn from mistakes of others as well.
https://www.sec.gov/news/press-release/2023-84

04/25/2023

FIN Compliance is one of the premier partners with Association of African American Advisors (AAAA) - Check them out to learn more about becoming a member. https://www.aaafainc.com/membership-2

03/11/2023

As seen earlier this year with the crypto exchange FTX, the sudden SVB bank closure brings risk, custody, and liquidity of assets to the forefront of conversaton. These events are a good time to evaluate the practices of your banking, brokerage, prime brokerage, and other financial service providers who hold custody.
This week, the banking sector (and overall market) was rocked with news about the unexpected FDIC takeover of Silicon Valley Bank - a prominent institution serving many venture-capital backed startups in the US.
After heavy losses from leveraged investments, the bank attempted to raise $2.25 billion in an asset sale. The uncertainly prompted a major liquidity event "bank run", led by prominent VC funds and its startup depositors, before the bank could secure buyers for to cover a negative balance sheet - prompted a failure to its liquidity coverage ratio (LCR) and triggering the FDIC to seize bank operations.

As dust begins to settle on the biggest American bank failure since 2008, members of the VC community lament the role other investors played in SVB's demise.

02/08/2023

Thankful and please to have our compliance app featured on kitces.com Financial Advisor Tech Solutions Directory. https://fintech.kitces.com/ Cameo Roberson Stephanie Dannebaum, ChFC®, MBA / MPP Jeffrey Rusin

01/12/2023

Zapier update - we are finally out of Beta mode - and ready to begin more integrations---alot of work - but so thankful to our team for helping. If you'd like to work, develop, or build with us--reach out to me--there is alot to explore.

Zapier update - we are finally out of Beta mode - and ready to begin more integrations---alot of work - but so thankful to our team for helping. If you'd like…

01/02/2023

We are not looking for more employees --we are looking for those who want ownership in their book of business/client base—FinServ compliance experience, high ethics, entrepreneurial, and/or tech sales skills are needed and a strong plus.

We offer whitelabeling/licensing solutions to build your book of business, advisory, compliance, or consulting firm.

12/19/2022

We’re not interested in hiring a bunch of employees ---we seek to empower the next generation of entrepreneurs to take ownerships of your own clients—reach out if you wish to build your book of business in 2023. FINCompliance.io

12/15/2022

2023 - Whitelabeling/licensing solutions to build your book of business, advisory, compliance, or consulting firm. We can help customize your portal and integrations. Contact us for options.

12/09/2022

https://www.linkedin.com/feed/update/urn:li:activity:7006727560222969856

12/09/2022

https://www.linkedin.com/feed/update/urn:li:activity:7007035098638270464

CFP Board guidance - https://lnkd.in/g779Sw2U'

12/02/2022

2023 Charles Schwab cybersecurity E&O requirements for advisors - regarding notices sent on/around 11/15. Sign up for our linkedin company page for more updates as they come.

https://www.linkedin.com/company/fincompliance/?viewAsMember=true