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.
We are seeing tremendous amount of interest from advisors in RegBIoptimizer. And what is particularly gratifying is that this time people understand that procrastination is NOT a strategy. RIAs and...Read More
PROVE COMPLIANCE WITH THE SUMMARY REPORT COMPARE ROLLOVER FEES PULL IN RETIREMENT PLAN DATA PRESENT CLIENTS WITH A COMPLETE COST PICTURE CRASH RATING PROVES YOUR RECOMMENDATION CONSIDERS THE CLIENT’S UNIQUE...Read More