DoL Making Compliance the New WealthTech Frontier

In light of the new proposed Department of Labor rules regarding the fiduciary duty of advisors with respect to certain retirement accounts, we thought we would re-publish our white paper on the intersection of RegTech (compliance) and WealthTech. Specifically, how technology can play a role in easing the regulatory burden at advisory firms and allowing for the outsourcing of some of the more time-consuming areas of compliance, such as direct surveillance.

You can access the white paper here

Compliance The New WealthTech Frontier.pdf

Download PDF • 415KB

Originally published under qSpur Consulting.