Transforming the Act of Compliance

Bill Hortz's picture

"Explaining your firm’s culture of compliance is a great way to show you care and a great way to build trust and referrals to friends and family." - Mac Bartine, SmartRIA

Redefining the Insurance Marketing Organization

Bill Hortz's picture

[Every facet of the financial services industry is in the process of being reviewed, rethought, and rejiggered. Being in an operating environment of accelerating business and cultural change does that sort of thing to industries.

Compliance in the Age of Pandemics

Bill Hortz's picture

[The COVID-19 pandemic has been a catalyst for dynamic change for advisor businesses in all but one area – the ongoing and inexorable march of regulation and compliance.

Less Power For Smaller Shareholders

Bill Hortz's picture

One of the Institute's Founding Innovator members - socially responsible investors  Pekin Singer Strauss Asset Management, managers of the Appleseed Fund (APPLX, APPIX) - asked us to get the following alert and CALL TO ACTION on a new pro


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