Keeping Up With Regulations

WMTV on Location brought to you by Sponsored Content Practice Management>Regulation & Compliance Keeping Up With Regulations How advisors can improve their compliance processes and set themselves up for success.

 

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Millennials are expected to inherit trillions of dollars in assets over the next 20 years, which will present opportunities for advisors, as well as challenges, especially when it comes to compliance.

Nearly half of advisors are currently outsourcing compliance and regulatory reporting, which could become problematic as regulations become more complex and firms experience unprecedented growth. Louis Giannini, senior director of product management at Orion, discusses the need for enhanced compliance procedures and tools available for advisors to improve their oversight of the reporting process.

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Originally posted on: https://www.wealthmanagement.com/regulation-compliance/keeping-regulations