Is your firm fully aligned with the evolving standards set by the SEC and the DOL’s best interest regulations, and positioned for growth in 2024?

In collaboration with InvestorCOM, this webinar demystifies the best interest principles from the DOL and the SEC. Whether you’re a financial advisor, firm leader, or compliance professional, you will gain practical strategies to ensure you and your firm remain compliant while accelerating firm growth.

Industry experts DFPG Investments LLC Director of IA Compliance, Craig Watanabe, InvestorCOM VP of Product and Regulatory Strategy, Parham Nasseri will dive into an in-depth discussion covering the following:

1. The critical aspects of Reg BI and the DOL’s framework on investment advice –
and its implications for financial experts and investors.

2. An overview of the latest regulatory guidelines, underscored by recent
enforcement actions.

3. Strategies for ensuring compliance at your firm and upgrading your compliance
processes to make you more effective and efficient.