Regulation Best Interest and the Fiduciary Standard
Recent focus on Regulation Best Interest has placed increased pressure on broker-dealers to ensure compliance with the standard of conduct required by the rule. Concurrently, the SEC, through Staff Bulletins and other guidance, has stated an expectation that investment advisers act the same under their fiduciary obligations, despite not being subject to Reg BI. Ready to COMPLY with confidence?
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Your client’s best interest is your best interest. Easily comply with Reg BI and fiduciary standard requirements with an automated solution built to help you provide best-in-class recommendations.
Regulation Best Interest Compliance with Confidence
You put your customers first. We put your first. Comply with Regulation BI requirements and so much more, empowered by a technology partner committed to helping you achieve and maintain compliance.
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2024 Election Insights Report
Download COMPLY’s Election Insights Report for a detailed assessment of upcoming electoral candidates and the potential pay-to-play risk for your firm.