Tag: ROI

ROI Compliance Technology

The ROI of Compliance Technology

Under the Securities and Exchange Commission’s (SEC) Regulation Best Interest (Reg BI) rule, broker-dealers (B-Ds) are mandated to act in the clients’ best interest. To do this, they must adhere […]

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Compliance ROI Model

Reg BI: A Compliance ROI Model

With the introduction of Reg BI (Regulation Best Interest), wealth firms will be expected to implement the most significant wealth compliance reform in decades.  The Reg BI implementation deadline in […]

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