Newsroom

Recent Entries
«Return to Main Blog Page
SER Member Launches New Compliance Service for Independent BDs and RIAs
September 17, 2019

MEMBER HIGHLIGHT - Sander Ressler and his new compliance outsourcing service, Essential Edge, were recently featured in Financial Advisor Magazine in a story titled, "For a Flat Fee, This Florida Firm will Inspect Broker-Dealer Branch Offices." The article goes on to explain the demand that exists among independent BDs and RIAs, who have "far-flung branch offices" under OSJ supervision, in staying current with and assuring compliance with the ever-changing regulatory environment. Enter Essential Edge Compliance Outsourcing Services, LLC, SER Member Ressler's new company, launched with partner Beth C. Barak, who herself is an expert in client relationship management, project management, program start-ups and communications. According to the FAM article, "Essential Edge offers a solution to [potential supervisory] conflict[s] of interest, offering compliance experts for hire with a flat fee to cover each step of the branch inspection process."


 


SER Members serve parties engaged in securities disputes. SER is a party-neutral organization. Items published in this Newsroom that express an opinion or a party bias are not reflective of SER's policy positions or its views as an organization. Items published in the Newsroom on this Website may also be published on SER's LinkedIn Page.

Members: To submit a news item to the Newsroom, first log in, then return to this page and press the button that will appear here.