Regulatory Update
While COVID-19 probably won’t bring relief from regulations, it is providing an opportunity for firms to take their compliance operations to the next level.
Reg BI, which just recently took effect on June 30, 2020, goes beyond existing suitability regulations to fundamentally alter the investor protection process.
By providing advisors a powerful yet simple tool you can proactively ensure they are meeting the needs of their retail customers.
COVID-19 caused many firms to put Reg BI compliance on the back burner. Dave Ackerman has three key lessons to help firms get compliant by June 30.