Compliance in the Age of Pandemics

Compliance in the Age of Pandemics

The COVID-19 pandemic has been a catalyst for dynamic change for advisor businesses in all but one are

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The COVID-19 pandemic has been a catalyst for dynamic change for advisor businesses in all but one area – the ongoing and inexorable march of regulation and compliance. Many regulatory deadlines and expectations have not been deflected by the real-world chaos that advisory firms are dealing with. A quick breather and a situational analysis on this front can be helpful.

To get a better sense of the regulatory environment amidst this pandemic, we decided to check in with Institute founding member Mac Bartine, CEO of SmartRIA – a software as a service (SAAS) compliance and business management platform for RIAs.  We asked him to share with us, from his unique regulatory and compliance perspective as an industry innovator, as to what financial services professionals should be most focused on during this time frame.

Hortz: What concerns you most about the legal/compliance environment for advisors right now?

Bartine: I have heard anecdotally…

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