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Wealth Compliance Leaders featuring Tom Selman, Founder of Scopus Financial Group
This episode features Tom Selman, Founder of Scopus Financial Group and former Executive Vice President of FINRA's regulatory policy division. Tom discusses - how his career got started - his thoughts on Reg BI and how will it shape the industry, indications on how the SEC will be approaching examinations and what Broker Dealers can do to prepare - the regulatory requirement for assessing Reasonably Available Alternatives what we've learned to date, and what firms should focus on in 2021 - recommendations for firms who are looking critically at their practices to meet the Care Obligation - and more. InvestorCOM Website: https://investorcom.com/
InvestorCOM Social Media: Twitter: https://twitter.com/InvestorCOMInc, LinkedIn: https://www.linkedin.com/company/investorcominc
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By InvestorCOM Inc.
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This episode features Tom Selman, Founder of Scopus Financial Group and former Executive Vice President of FINRA's regulatory policy division. Tom discusses - how his career got started - his thoughts on Reg BI and how will it shape the industry, indications on how the SEC will be approaching examinations and what Broker Dealers can do to prepare - the regulatory requirement for assessing Reasonably Available Alternatives what we've learned to date, and what firms should focus on in 2021 - recommendations for firms who are looking critically at their practices to meet the Care Obligation - and more. InvestorCOM Website: https://investorcom.com/
InvestorCOM Social Media: Twitter: https://twitter.com/InvestorCOMInc, LinkedIn: https://www.linkedin.com/company/investorcominc