Compliance & Regulation
- Compliance & Regulation
What Reg BI Means for Financial Advisors
What does Reg BI mean for financial advisors? Here, we break down the regulation's four key components.
- Compliance & Regulation
Meeting Your Fiduciary Duty: Focus on Advisory Account Documentation
Learn the importance of documentation when it comes to meeting your fiduciary duty and avoiding increased scrutiny from regulators.
- Compliance & Regulation
Managing Client Expectations: How to Answer 3 Common Questions
Creating best practices can better prepare you for common questions that may arise during client meetings and is essential to managing client expectations.