- Finalto releases new compliance guidelines for retail brokers, emphasizing a balanced approach between digital innovation and traditional client engagement.
- The guidelines, part of the “Finalto Broker Series,” advocate for a culture of responsibility in compliance to enhance long-term relationships and brand loyalty.
Liquidity provider and prime brokerage firm Finalto has released comprehensive guidelines to assist brokers in marketing effectively to retail investors within the evolving trading landscape.
The guidelines, part of Finalto’s “Broker Series,” stress the importance of balancing the needs of tech-savvy retail traders with the requirements of traditional institutional clients.
The recent surge in retail trading activity has significantly altered the market. Finalto’s guidelines aid brokers in understanding the distinct preferences and regulatory needs of different client segments, enabling them to tailor their marketing strategies accordingly.
“Compliance in marketing extends beyond regulatory adherence,” states Klelia Orphanidou, B2B Head of Regulatory Compliance at Finalto. “It’s crucial for fostering long-term trust and a strong brand reputation.”
Finalto’s commitment to supporting brokers is further evidenced by their focus on bespoke liquidity solutions and recent partnerships aimed at enhancing liquidity offerings.
