Compliance Doesn't Have to Be the Enemy with Richard Chen
About this episode
Steven Jarvis and compliance attorney Richard Chen discuss the importance of compliance for financial advisors and how to approach it positively.
Steven Jarvis is joined by compliance attorney Richard Chen to break down what compliance really means for financial advisors. They discuss how to balance providing value without crossing regulatory lines, the limitations of relying on software, and the importance of protecting client data. Richard reframes compliance as a core part of serving clients well, not something to avoid, but something to approach with clarity and simplicity. https://zurl.co/7VC5w
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