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How Can Financial Advisors Navigate the Compliance Maze?

Compliance Maze

Advisors must adhere to stringent demands of state and federal regulators. Regulations, too, are constantly evolving, adding layers of complexity for advisors.

For example, last year’s passage of the SECURE Act, which stands for “Setting Every Community Up for Retirement Enhancement,” affected Americans’ retirement savings. It sent advisors scrambling to make clients aware of the changes and help them implement new approaches to savings and withdrawals.

“Most situations we see a result from an advisor’s failure to recognize, or failure to fully disclose, the existence of a conflict of interest.”

Foreside’s Mark Alcaide, Senior Managing Director, provided commentary to U.S. News & World Report around the most common compliance mistakes within an advisor’s business. Click HERE to read the full story.







Additional Resource:


The Ins and Outs of Outsourcing Compliance