New Trump Administration Prompts Changes Within the SEC

ria money transferThe U.S. Securities and Exchange Commission (SEC) consists of five President-appointed commissioners who serve five-year terms. The President designates one commissioner or chairman and no more than three of the commissions can belong to the same political party.

Now, both Mary Jo White, the Chairwoman of the SEC and Andrew Ceresney, the SEC Enforcement Director, have announced their resignation once the Trump administration takes over.

“It has been a tremendous honor to work alongside the incredibly talented and dedicated SEC staff members who do so much every day to protect investors and our markets,” said White. “I am very proud of our three consecutive years of record enforcement actions, dozens of fundamental reforms through our rule-makings that have strengthened investor protections and market stability and that the job satisfaction of our phenomenal staff has climbed in each of the last three years.”

According to Legal NewsLine, White was the 31st SEC Chair and has served one of the longest terms in history of the commission. Both White and Ceresney focused on improving the overall market for RIA compliance consultants, investors, and everyone else involved in the industry.

Ceresney, who came into the agency alongside White, has overseen the commission and brought a record number of cases by targeting both small infractions and large scams involving fraudulent RIA money transfers.

“We really have brought important cases across the whole securities realm, in every priority area,” said Ceresney. “Enforcement will always be a high priority, it’s a bipartisan issue. “Any enforcement director should be encouraging their people to be creative and aggressive but also fair.”

Not only that, but The Wall Street Journal reports that under Ceresney’s supervision the enforcement division filed 143 cases targeting inaccurate municipal bond disclosures and various cases involving short selling and other public offering violations.

Because of the incoming administration, and many uncertainties concerning the future of the SEC, RIA consultants who deal with RIA money transfers will be even more focused on the new regulations. In the meantime, like much of the world, many financial advisors and RIA companies will be taking a “wait and see” approach to 2017.

To learn more about RIA money transfer online programs or to speak with professional RIA consultants, contact Focus 1 Associates.

28 Dec 2016

How to Choose the Best Space for Your Office

choosing a warehouseWhen a company starts to grow, it can be difficult to keep up with only a small office. In order to expand, companies need new workers, new technology, new inventory, and, of course, the space to put it all in. With 4 billion square feet of warehouse space built between 1990 and 2003, and more warehouse development on the rise with an average growth rate of over 7% per year, finding a warehouse to rent can be easy. Sixty-two percent of the 59 million square feet of commercial warehousing under construction lacks tenets, which means there’s a huge supply of warehouse space for you and your company. But how do you choose which space is best for you?

When choosing a warehouse space, the first step is determining warehouse space needs. While size is the most obvious factor to take into consideration, you should also think about other important aspects, such as water access or electricity needs. You should also consider the employees that will work there, who will need proper ventilation, a parking lot, break room, and bathroom facilities.

It’s also important to consider the location of your warehouse. If the warehouse is for storing purposes, it might be easier to find a location further away from busy areas. However, if you use the warehouse to send out shipments, it might make it easier to find a location near a highway. With commercial leases, it’s important to find a space that can benefit your company now, and in the future. Will this space be able to meet the needs of your company’s future growth? Is it in a location that will still be relevant to your company in the next few years?

When entering into an office lease agreement, protection of your property is another thing to consider. Make sure your equipment is covered by your insurance, as commercial leases often do not cover the renter’s property. That means if there is damage, your company will have to deal with it, even if it’s not by any fault of your own.

When choosing a warehouse for your business, it is important to take the time to consider all of these variables. Choosing the right space for your business will likely increase your production, and allow your company to grow even more.

03 Sep 2015

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28 Dec 2013

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09 Dec 2013

Successful Entrepreneur Enjoys His Real Estate Success

Since 2005, the Henri Frank Group has successfully worked in one of real estate’s most competitive markets: South Florida. Frank Vigliotti, a realtor and co-founder of the celebrated Henri Frank Group sat down with us to talk about getting started in the challenging world of real estate.

Starting any business is a challenge, but starting a real estate business in one of the country’s most popular markets must be even more so. Why did you choose to get started in this industry?

I’m an entrepreneur and have always owned my own business. I like to do a variety of things that are required to run a small business, accounting, marketing and advertising, customer service and employee management.

Those skills are certainly essential. What kinds of businesses did you own before the Henri Frank Group?

I co-owned six retail boutiques in New York and Cape Cod. Always an entrepreneur, I also co-owned a Pizzeria/Italian Restaurant in New York.

I’m sure that experience was very valuable. How did you prepare for the challenge of owning a real estate business specifically?

I went to the local real estate school and used the services of the local Real Estate Association in Fort Lauderdale. They have classes and courses that can help you expand your knowledge of the business.

There is a lot of variety to the real estate business. How did you find your niche?

I believe you don’t find a niche, a niche finds you. One of the aspects of the real estate business is the number of services and products you can offer: condominiums, single family homes, multi-family homes, commercial buildings and space, beachfront homes and condominiums, properties throughout South Florida– it’s an extensive area that includes Broward County, Miami-Dade County, and Palm Beach County.

The Henri Frank Group is a boutique agency with the backing of real estate giant RE/MAX. For more information, visit www.henrifrank.com or call (954)805-5288.


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04 Dec 2013

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08 Sep 2013

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03 Sep 2013