White Paper

Reg BI, Fiduciary Rule 3.0 and the Emergence of Pre-trade Compliance

Regulatory legislation, such as the SEC's Regulation Best Interest and the DOL's Fiduciary Rule 3.0, puts in place new requirements for financial professionals to act in the client’s best interest when making investment recommendations. 

How and where to prioritize technology investments will perhaps be the most pressing decision firms will make in many years.

To meet these regulatory requirements with confidence, firms are exploring new compliance practices and technology solutions that streamline the way financial professionals make recommendations.

This white paper explores the new pre-trade requirements, their impact on wealth management firms, and how technology can make processes around compliance more efficient and better support financial professionals in meeting client needs.