by Kristefor Lysne | May 26, 2022 | Leadership
As many of you know, I’m a fan of the fine folks over at Kehrer Bielan Research & Consulting. Every year I look forward to the Kehrer Bielan Annual Checkup, as it provides leaders with the insights they need to be successful. These insights are invaluable...
by Kristefor Lysne | Apr 27, 2022 | Data and Technology
Trust in data is a frequently cited issue at the executive level. According to a 2021 study by HFS Research, 89% of business executives cited “a high level of data quality” as key to business success. However, 75% of business executives do not have a high level of...
by Kristefor Lysne | Mar 30, 2022 | Risk and Compliance
Our last blog provided an overview and key takeaways of FINRA’s 2022 Examination and Risk Monitoring Program Report. In this blog, we will take a closer look at FINRA’s top enforcement issues in 2021. According to Eversheds Sutherland’s annual report of FINRA’s...
by Kristefor Lysne | Jan 27, 2022 | Leadership
An article headline from TechRepublic caught my attention: “Do you spend 30% of your week in meetings? Survey says many people do” Here are some stats from the survey: Mondays are the most popular day of week to schedule meetings Wednesdays have the...
by Kristefor Lysne | Nov 10, 2021 | Strategic Growth
As a growing number of investors switch from commission-based brokerage to fee-only RIAs, the market has responded in kind. FINRA data shows that the number of FINRA-registered broker-dealers fell by 17% in the past eight years, while SEC-registered RIAs have grown by...
