Compliance is a “have to” in the financial services industry. Advisory firms are required to have a compliance officer or a designated third-party compliance administrator, either of which must meet specific qualifications. Doing only as much as is required, however, still leaves you open to the risk of regulatory issues and scrutiny that you’re not prepared for.
Topics: Webcasts, Roundtable Talks, Regulatory, Compliance
Introducing our new web series: Roundtable Talks. We’ll feature FP experts–along with some guests–sharing their opinions on what’s going on in the financial services industry.
Real experts, real opinions, no script.
Our first episode centers around the DOL Fiduciary Rule, SEC Business Continuity Amendments, & other recent regulatory concerns. Marcus Hagood and Douglas Kreft share their thoughts on the regulations themselves as well as the potential impact on the industry. Watch the preview below.
This series is an exclusive benefit to our EMS™ members. Not an EMS™ Member? Click here to learn more about the program and its benefits, including annual Valuation, Continuity, and Benchmarking Reports plus a library of resources only available as part of the Equity Management Solutions®.
What do you want to hear about? Click here to submit topic suggestions for future Roundtable Talks, blogs and resources to our Content and Resource Team.
Topics: Webcasts, DOL, SEC, Roundtable Talks, Regulatory