ADMIS 2017 Conference
Congratulations to ADMIS on a terrific IB Conference. It was well-planned, well-executed and well-attended! Thank you to all at ADMIS for including us at the event and for the continued…
CFTC Names J. Christopher Giancarlo Acting Chairman
Washington, DC — Commissioner J. Christopher Giancarlo was designated per seriatim as Acting Chairman of the U.S. Commodity Futures Trading Commission (CFTC) on January 20, 2017. Mr. Giancarlo joined the…
Top 10 Issues for CFTC/NFA Compliance in 2017
Happy New Year! We hope the NIBA membership had a successful 2016. The beginning of a new year is typically a time when firms are focused on plans for growing…
Portrait Of Business People Working Together In Office
Ask NFA – January 2017
As your industry advocate, the NIBA provides many services which help your business stay in compliance with NFA regulations. “Ask the NFA,” is the way you can ask questions about…
Housekeeping, Reminders & Updates – January 2017
Financial Crimes Enforcement Network Advisory on FATF List of Jurisdiction with AML/CFT Deficiencies On January 19, 2017, the Financial Crimes Enforcement Network (“FinCEN”) issued an advisory announcing that the Financial…
Top 5 Ways AI in Compliance Will Affect You in 2017
Artificial Intelligence (AI) is the hottest topic in service industries these days, and compliance is no exception. AI can be roughly divided into two categories: General, which we see in…
Flat line design website banner of development process, from idea to realization.
Financial Marketing is a Process: Defining and Executing an End-to-End Marketing Process
By Shane Stiles and Sarah McNabb Whether you’re a fund manager, investment advisor or broker, whether you’re selling retail or institutional trading, or raising assets for a fund—marketing starts with…
Chairman’s Letter – Jan 2017
“Cheers to a new year and another chance for us to get it right.” Oprah Winfrey, 1954- Oprah Winfrey is an American media proprietor, actress, producer & philanthropist. Looking…
NIBA SoCal Conference around the corner – February 23, 2017
The 2017 NIBA conference schedule kicks off the year in toasty Southern California on February 23, in beautiful Newport Beach. This will be followed by our spring meeting in New…
Roadmap to Strategic and Compliant Email Marketing
Email marketing continues to be one of the most effective and cost-efficient tools in the marketer’s toolbox. But strategic and compliant email marketing is not easy. Marketing automation and emerging…
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