Mitigating Conflicts in Sales Practices & Promoting The Best Interest of Clients

Regulation Best Interest is a sweeping regulatory regime and those effected need guidance on how to navigate complex rules. Jasmin Sethi has extensive knowledge of the best-interest standard for broker-dealers and Regulation Best Interest. SCA can advise broker-dealers on how to comply with their obligations under federal and state regulations. SCA can help turn regulatory challenges into competitive advantages as we help you serve your client in their best interest. You can find many of Jasmin’s thoughts and research on these topics in her extensive writing for publications like Forbes, Morningstar, and Advisor Perspectives.  

SCA provides the full range of services for those implementing Reg BI and Form CRS. We do so with the client's business model in mind. For example, we help clients develop their policies and procedures, adopt strategies for assessing compliance and ensure proper implementation of Form CRS. We go beyond basic compliance to find novel business opportunities hidden within regulatory challenges.