Thursday, July 24th, 2014 and is filed under AI Insight News
Advisors who work with retail clients can benefit from an understanding of Structured Products, their risks and potential benefits and how they can be used in client accounts. Read More
Thursday, June 26th, 2014 and is filed under AI Insight News
Alternative investments will continue to surge in 2014 and beyond. That’s the bullish view of many market observers. According to a survey released by Morgan Stanley, 77 percent of investors with at least $1 million in assets own real estate. And while direct ownership was the primary choice among these investors, 23 percent said they expect to invest in real estate investment trusts, the second most popular choice. These alternative investment choices were followed by collectibles, private equity, and precious metals. Read More
Wednesday, May 28th, 2014 and is filed under AI Insight News
Broker Dealers are finding the Regulatory focus and the need to provide documentation increasingly demanding – particularly when it comes to offering complex products to their clients. As new regulations are released, a trend toward a fiduciary standard for broker dealers and their advisors appears to be emerging. Read More
Thursday, May 22nd, 2014 and is filed under AI Insight News
We are pleased to announce that AI Insight, Inc. recently received the National Women’s Business Enterprise Certification (WBENC). Read More
Tuesday, May 13th, 2014 and is filed under AI Insight News
Considering the sheer size of the financial industry in the United States, you may think the odds of a regulatory review are fairly slim. However, FINRA Chairman and CEO Richard Ketchum recently stated that while FINRA regulates about 4,100 brokerage firms and about 635,000 registered securities representatives, “we are out there on the ground and in the field every single day—in offices all across the country—overseeing virtually every aspect of the securities business.” Read More
Thursday, April 24th, 2014 and is filed under AI Insight News
On April 7, 2014, researchers disclosed a vulnerability in a technology called OpenSSL that powers encryption across much of the internet. The vulnerability is commonly known as the “OpenSSL Heartbleed Flaw.” Read More
Monday, April 21st, 2014 and is filed under AI Insight News
The real challenge holding many firms back from expanding their alternative investment platform is meeting advisor education and advisor training requirements per FINRA NTM 03-71, 05-26, 10-22, and 12-03 Read More
Thursday, March 27th, 2014 and is filed under AI Insight News
In the 2013:2 edition of the Ohio Securities Bulletin, the Division published an article entitled “Suitability Requirements in Direct Participation Programs.” One section of that article under the heading “A Word About DRIPs” generated comments from Direct Participation Program (“DPP”) sponsors and broker-dealers. The Division believes that providing additional clarification regarding the article and suitability obligations related to DPP Distribution Reinvestment Plans (“DRIPs”) may be beneficial for DPP market participants. Read More
Thursday, February 13th, 2014 and is filed under AI Insight News, Press Releases
The Investment Program Association (IPA), a trade association for non-listed direct investment vehicles, and AI Insight, the financial industry’s most trusted source for alternative investment product information and training, today announced that a new and uniquely powerful direct investments compliance tool, the AI Insight Daily Blue Sky Report, will be available to IPA members. Read More
Wednesday, January 1st, 2014 and is filed under AI Insight News
AI Insight is pleased to announce marketing professional Vickie Stone has joined the company. In her role as Director of Marketing & Client Relations, Vickie will oversee the development and implementation of AI Insight’s communications strategies in addition to managing client relationships with both broker dealers and alternative investment product sponsors. Read More
