ON DEMAND: How Do You Play the Game When the Rules Keep Changing?

How Do You Play the Game When the Rules Keep Changing? Changing compliance regulations force financial advisors to ask this very question. Having the latest information on regulations can feel like a full-time job on top of advisors’ many other responsibilities.

Staying on top of compliance issues can seem daunting, but with the right systems in place, compliance can become routine especially if you only have to do things once.

Docupace’s integration with Due Diligence Works helps you meet the demands of the Reg BI care obligations and 401K to IRA rollovers with the click of a button.

Docupace SVP of Enterprise Business Development, Matt Paulsen, and Due Diligence Works, Michael Freeman walk through the current state of compliance requirements and show how this new integration can help advisors be more efficient behind the scenes in order to better serve their clients’ needs.