White Paper: Strategies and Solutions to Meet the New Reg BI Compliance Requirements 


With advisors working from home during COVID-19, adopting technology to meet Reg BI compliance is both practical and efficient. However, not all solutions are equal in terms of cost, complexity, time to implement, and ease of use.

Whether you are just starting to plan or are mid-way through your Reg BI implementation, it is important to understand what to consider and which approach best fits your firm’s requirements.

This white paper offers insights that you can use to understand:

  • Which elements of Reg BI compliance require process vs technology
  • What to rank and prioritize in the implementation effort
  • Whether a fully integrated compliance platform or a drop in solution suits your needs

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