Reg BI, which just recently took effect on June 30, 2020, goes beyond existing suitability regulations to fundamentally alter the investor protection process.
Financial Services Organizations can now benefit from unified communications while ensuring compliance with global regulations, even for remote workforces.
By providing advisors a powerful yet simple tool you can proactively ensure they are meeting the needs of their retail customers.
Analytical models have become fundamental tools in the FSO compliance arsenal but high volumes of false alerts are inundating compliance analysts.
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