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How do Advisors deal with personal trading compliance
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Even as a licensed client assistant or a phone rep there are so many chains and strings attached ie: you can’t trade this stock because the firm is currently engaging in it, you can’t have an acorns or Robinhood account because you can’t link it to our compliance watch dog site, you have to trade on our trading platform (which might be vastly inferior), you have to gain permission from us first to transact any buy/sell… the list goes on.

Where as a non licensed employee can literally buy crypto, options, stocks where ever they want, etc.

How do you make investments without losses due to compliance in general?

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11 months ago