International Assets Advisory is a money management firm that aims to improve clients’ financial well-being through the provision of personalized financial services. Offering products and services related to mutual funds, retirement planning, and portfolio management among others, International Assets Advisory is a registered broker/dealer and member of the regulatory organization FINRA.
FINRA is responsible for protecting investors and promoting healthy financial markets through the monitoring of professionals within the broker-dealer profession. The organization accomplishes these goals through five key actions. First, FINRA makes a point of strictly enforcing its rules to discourage misconduct within the industry, and regularly examines broker-dealers for compliance. Secondly, for those who break FINRA’s rules, there are swift consequences and disciplinary actions commensurate with the infraction committed by a broker dealer.
Third, FINRA leverages advanced technology to scan market movement and identify potential wrongdoing, and collaborates with other major financial organizations like the SEC to make sure possible fraud is dealt with quickly. The fourth action FINRA takes is to provide education and information to investors, giving them tools that can help them protect themselves from fraud as well as make sound financial decisions. Lastly, FINRA protects investors and the market by maintaining the largest forum for addressing securities-related disputes between investors, brokers, and securities firms, successfully resolving disagreements within the industry as they arise.
