Last week, on October 6, FSI held the first of three Regional Discussions in sunny San Diego. These roundtable discussions serve as an opportunity for the compliance, operations and technology professionals from FSI’s member firms to meet and discuss best practices and ideas for overcoming the complex hurdles they are facing at their firms.
The discussions kicked off in the morning with an update on the Department of Labor’s (DOL) proposed fiduciary rule.
The discussion then turned to compliance and operations. Topics that came up in the seminar-style discussion groups included sweep letters, consolidated statements, BrokerCheck background checks, new technology platforms, succession planning and much more. It was great to see so many members learning from each other about how to make their businesses operate more smoothly with the compliance requirements that are currently in place.
Thank you to LPL Financial for hosting the West Coast Regional Discussions. Click here to learn more about our upcoming discussions!