Blog 3 Columns

Controlling Your Campaign Flow in Your Campaigns Dashboard

With Larkspur Executive PRO you can easily prospect multiple companies by sending them a batch campaign. But many of our users wonder: how can I track a campaign? how can I manage campaigns individually and for the companies, and how can I blacklist them?Those are really essential questions, and we have several ways to do that efficiently,

Proving Compliance With the PDF Tool For SEC Exams

Colin Ward

27 Jul 2020

The SEC indicated that its first compliance examinations would begin in July-August. How will your firm prove to the SEC that your advisors abided by Reg-BI standards with every client contact? If you work as a team and have a compliance officer, RegBIoptimizer’s admin portal is essential. The Admin panel is ideal for independent RIAs or BDs but excels with scale.

Data Driven Success for Financial Advisors

Yon Perullo

23 Jul 2020

Advisors have been using LE Pro to win retirement plan business for a few months and have sent thousands of emails to prospects. This podcast will examine the e-mail success...

Early Returns – CTML & Campaign features pay dividends!

Yon Perullo

23 Jul 2020

Anecdotal Evidence Data Backed Results Not Good Enough When we released our CTML (Customizable Trackable Marketing Letters) and LE Pro and Platinum campaign features, we knew these tools would be...

Here’s What’s Next For The DOL Fiduciary Rule.

Colin Ward

13 Jul 2020

Regulation Best Interest compliance examinations are around the corner. Yet, just as Advisors and Brokers adapt to a new Reg-BI environment the Department of Labor (DOL) proposed a new regulation that will affect anyone who gives investment advice.

Court Update: Reg-BI is the New Standard For Advisors and Brokers!

Colin Ward

30 Jun 2020

Courts did NOT throw out Reg-BI! Don’t be part of the last rush to compliance At this point, if you have not heard of the SEC’s Regulation Best Interest, then...

Reg-BI Podcast 4:SEC Exams

Yon Perullo

25 Jun 2020

The final installment of our four-part Reg BI Podcast series examines what is known about the SEC’s REG-BI Examinations. While the examinations appear to be geared towards broker-dealer’s, RIAs can...

Reg-BI Podcast 3: Form CRS

Yon Perullo

25 Jun 2020

In the third installment of the four-part Reg BI Podcast series, Yon Perullo delves into form CRS, which is potentially the most important form of Reg-BI and will effect every...

Reg-BI Podcast 2: Regulation Overview

Yon Perullo

25 Jun 2020

Installment 2 of a four-part series on Reg BI. Yon Perullo reviews the key components of Reg-BI and highlights the critical issues to ensure compliance.