Well that’s one way to look at it. Unfortunately, if you’re an advisor, that’s probably not how you see all these regulations. Let Main Street Back Office Solutions take them off your plate and turn lemons into lemonade.
PTE 2020-02 – have you heard? Giving advice on retirement assets (including traditional IRA rollovers) that affects your compensation is a PROHIBITED TRANSACTION in the ever expanding reach of the eyes of the Department of Labor. MSBOS has you covered.
206(4)-7 – are you reviewing your Policies and Procedures in writing at least annually and noting any deficiencies? Do you have your own Policies and Procedures? MSBOS has you covered.
Promotional Materials – are you recording your review of promotional materials including business cards, emails, social media, solicitors, client events? Let MSBOS handle that for you.
Reg BI… Best Ex… ADV Part 1, Firm Brochure, Advisor 2B Brochure, Form CRS…. Main Street Back Office Solutions has you covered for every aspect of Compliance, Billing, Operations, HR, and Virtual Sales Assistance.