Tag: Tech Enabled Compliance

Best Interest Era: Implications, and Necessary Transformation

Across North America, Regulation Best Interest (Reg BI) and Client Focused Reforms (CFRs), were designed to place investors’ interests at the forefront of financial decision-making. While its goals are laudable, its implications for wealth management firms have sparked a challenging but necessary transformation. Financial advisors and firms, long accustomed to managing client relationships and executing […]

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