InvestorCOM recently hosted an exclusive Roundtable event where executives from 16 leading wealth firms shared their most pressing compliance challenges and discussed strategies and solutions for meeting CFR requirements.
Find out what firms are doing to prepare their advisors and dealers for the upcoming CFR regulation.
Read how firms plan to manage their proprietary and non-proprietary product shelf for material changes.
Find out why illustrating best interest under the enhanced suitability process will be more onerous.
Discover the best way to mitigate suitability complaints and why recordkeeping needs to be your top priority.
Get the details on the challenges firms face and what they are doing to solve it. Read the survey.