Beth Knox – Page 2 – Equity Services, Inc

Register Now for the March 2025 Business Development Conference – Don’t Miss Out!

Are you ready to take your business to the next level? If you haven’t registered yet for the highly anticipated 2025 Business Development Conference,…

Beth KnoxDecember 17, 2024

Advisory Solutions Compliance & Licensing

Reminder: Field Notice 2024-21: Investment Policy Exception Report Updates

Effective January 1st, 2025, ESI Financial Advisors (“EFA”) will change their notification process for accounts identified as being in violation of one or more…

Beth KnoxDecember 12, 2024

Operations Product

Bitcoin ETFs Now Available

Bitcoin ETFs are now available on an unsolicited basis only in brokerage accounts. Please see this disclosure form (Digital Assets Disclosure Form) for additional…

Beth KnoxDecember 4, 2024

Firm Update Training

Quick Access to the ESI Home Office Organizational Chart

As always, we want to make sure that you have easy access to the resources and support you need to serve your clients effectively.…

Beth KnoxDecember 3, 2024

Advisory Solutions Training

Coming Soon: Updates to Client Reviews in Illuminations!

Documenting your annual client reviews is about to get even easier! Beginning December 16, 2024, client reviews will be updated with a new look…

Beth KnoxDecember 3, 2024

Strategic Partners Training

Exclusive Envestnet Event: High-Net-Worth Symposium

On January 15th, Envestnet will host Engage 2025: High-Net-Worth Symposium. From Envestnet: "We are excited to invite you to an exclusive in-person workshop designed…

Beth KnoxDecember 3, 2024

Advisory Solutions Market Updates

How Could the 2024 Election Results Affect the Economy and Investments?

From Envestnet PMC: The election is over, but the results are continuing to reverberate through the financial markets. Introduction The 2024 elections are over,…

Beth KnoxDecember 3, 2024

Best Practices Compliance & Licensing

Recent Field Notice: Update to 529 Municipal Securities Disclosure Form

Policy changes related to 529 accounts were recently announced in Field Notice 2023- 24. A key driver for the policy update was the expanded…

Beth KnoxDecember 3, 2024

Technology

Update to the Entreda Cybersecurity Passing Score

Update Effective December 9th When we first rolled out Entreda, the cybersecurity system, we knew it would provide a better experience than our previous…

Beth KnoxDecember 3, 2024

Compliance & Licensing

Cash & Non-Cash Compensation Policies

Cash & Non-Cash Compensation Policies When arranging marketing events or attending product offeror meetings where any form of compensation or financial support is received…

Beth KnoxOctober 29, 2024