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Tag: ROI

The ROI of Compliance Technology

Blog March 24, 2021

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 to their obligations of disclosure, care, conflicts of interest, and compliance. With the regulations now in effect, B-Ds have taken steps to achieve various degrees […]

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Reg BI: a 500% Compliance ROI Model

Blog July 26, 2020

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 the US has recently passed on June 30, 2020.  While most firms have met basic compliance requirements, many have deferred compliance technology decisions as the […]

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Recent Posts

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  • Reg BI: A Dialogue with Tom Selman, Scopus Financial Group
  • The ROI of Compliance Technology

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