Building a Reg BI Mindset | HTK

"All too often, financial professionals meet the requirements of a regulation by simply checking a box. Think bigger."

It’s been more than four months since Regulation Best Interest (Reg BI) went into effect. In a guest contribution for Advisor Perspectives, Jim Krause, HTK's director of supervision, encourages financial professionals (FPs) to think beyond the delivery of disclosures and documentation to fully engage clients. Drawing inspiration from other service-based industries, Krause encourages FPs to momentarily stop thinking from the FP seat. At the same time, he is careful to emphasize that Reg BI holds all FPs to a higher standard of care and diligence. Read the full article on


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