Meeting Remote Compliance Challenges during COVID-19 and Beyond
In response to COVID-19, organizations around the world have asked employees to self-isolate and work from home for the foreseeable future. In our industry, dealer compliance teams are working virtually to provide advice and service to their clients.
With the Reg BI deadline fast approaching, firms now face a bigger challenge: meeting compliance with a remote workforce.
In this webinar, our panel of industry experts from Scopus Financial Group, Regal Financial Group, and InvestorCOM will discuss how wealth management firms can adapt to the new work-from-home realities and maintain strong compliance and record-keeping practices.