3 Reasons RIAs Shouldn’t Wait For a Court Ruling on Reg-BI
With less than 3 weeks until the June 30th Regulation Best Interest compliance deadline, are you one of the RIAs holding their breath to see if it will be stopped? The lawsuits don’t intend to stop Reg BI because it is too strict, though. In fact, they believe the opposite - that it doesn’t go far enough. Their main argument is that the SEC’s new rule does not hold brokers to the same fiduciary standard as RIAs and breaks some of the requirements of the Dodd-Frank bill.
How Small RIAs Can Keep Up With Fin Services Corporations
Large businesses are leaving small firms in the dust by implementing technology to meet Regulation Best Interest’s requirements. With less than a month left, I know that I don’t need to remind you that the June 30th Regulation Best Interest Deadline is fast approaching. How firms prepare for compliance may very well set the course for their growth.
Working Effectively – A conversation with Erik Solbakken (CPA)
The struggles of CPAs, RIAs, and BDs exist because of mindsets and practices anchored in old professional service business models. Erik Solbakken changed the way CPAs market and build client...Read More