7 Years in and I’ve completed my 1st Audit by the CA Department of Financial Protection and Innovation. I’m happy to report that I’ve come out the other side and I’m happy to think the business is in full compliance! Also, in other news, I now offer clients separately managed accounts which can be customized… Continue reading CA Audit
Category: Operations
Paying for order flow?
Our custodian had some comments on paying for order flow – something that has been in the headlines recently with Robinhood and Gamestop. “From day one, SSG has never received payment for order flow. Although it may be an accepted practice at other firms, we believe that it leads to potential conflicts of interest. Today… Continue reading Paying for order flow?