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What You Need to Know About Reg BI - Compliance

Despite pandemics, economic concerns, reduced staffing and more, this new regulation is now an official obligation for financial advisers.
 
Monday, July 20 2020

What You Need to Know About Reg BI

As of June 30, 2020, Regulation Best Interest–or Reg BI–is officially in effect. Despite pandemics, economic concerns, reduced staffing and more, this new regulation is now an official obligation for financial advisers. The goal of these... [...]
Monday, June 15 2020

Charging Performance Fees While Remaining Compliant

For most financial advisers, staying compliant means applying extreme diligence across a variety of areas as you keep tabs on a host of regulatory requirements. From advertising compliance to creating... [...]
 
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