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DoL Making Compliance the New WealthTech Frontier

Updated: May 3

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
Download PDF • 415KB

Originally published under qSpur Consulting.


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