NYS Reg 187 is coming, R U ready. Attend our Webinar Series this Friday at Noon (click below), and we will walk through what needs to be done and send you our recommendations. We will also tie this one regulation into the broader landscape....
Need to set up a product committee? Wondering if your product committee is on par with your peers? Thinking your product committee is too complex? Remember, it doesn't have to be onerous, but it does have to be right. Click below to learn...
By popular demand from our clients, finally - a 10-page Due Diligence Report in One Number. Welcome the DDW Score, coming soon. Check out an early view, click below.
DDW President, Michael Freeman, gives webcast on 'Regulator Expectations for 2019 for BDs and RIAs' - 'Managing your Sales Force, Product Shelf and a look ahead at the Market'
Product Teams Waste Time Chasing Ghosts
We have a broker-dealer client who receives calls from Advisors every week asking to add a new product to the product shelf. (New Advisors are the most guilty.) As much as the product team would like to ignore...
