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Here are my key takeaways from the LINC conference. When the SEC knocks, how will you prove compliance? The Stars Point to Compliance Better to bargain We are here to help you with compliance. More to come from LINC 2020 My colleague, Luke St. Angelo (RiXtrema’s VP of Client Success), and I had the opportunity to attend the LINC conference – an annual conference hosted by TD Ameritrade designed to connect RIA firms of all sizes with top tier mentor presenters and technology providers. Here are my key takeaways from the LINC conference. Advisors want to do two things: Grow and provide high-quality advisor services consistently to clients. The conference...Read More

Introduction Description of relationships and offered services A statement of the applicable conduct standard associated with the services Fees and Costs A Comparison of BD and RIA services for firms that are not dually registered Conflicts of Interest associated with the firm’s relationship to its services, fees, and other BDs and RIAs Legal and disciplinary events A list of prescribed “conversation starters” for investors to ask? The SEC requires the following questions to be included in this section Other considerations RiXtrema’s Regulation Best Interest researchers created this checklist to get your gears turning toward compliance. It is not a substitute for consulting a legal or regulatory compliance office, but we...Read More