Welcome to New York, Welcome NYS Reg 187

May 29, 2019 | Due Diligence Works

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....

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Product Committee in a Box

May 21, 2019 | Due Diligence Works

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...

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DDW Product Score

May 13, 2019 | Due Diligence Works

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.

Click to see an early view

 

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DDW is entering our 3rd year.  Honored to serve 27 firms in the US and Canada.  Thank you and Happy Holidays.

December 18, 2018 | Due Diligence Works
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Webcast & Presentation on Industry Trends and Regulator Expectations for 2019 for BDs and RIAs

September 17, 2018 | Due Diligence Works

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'

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Chasing Ghosts

October 4, 2017 | Due Diligence Works

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...

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We just completed DDW's 2nd annual conference focused on Compliance, Supervision, and Product Selection. An overwhelming success and double the...

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