Amid this period of ongoing change, with the potential for continued market volatility, Broadridge stands ready to help you navigate what’s next. Our highest priorities are keeping our associates safe and ensuring our ability to serve our clients.
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Do Client Focused Reforms Mark the End of After-the-fact Compliance?
2021 will be the year marked by drastic regulatory changes as the Client Focused Reforms (CFRs) are scheduled to be fully implemented by December 2021.
VP, Business Development Broadridge Financial Solutions
At first glance, many wealth executives will see the CFRs as just one more compliance hurdle, but the reality is far different. These reforms mean that data and a client-centric view need to be central to the strategy of your investment firm. Compliance must be first and foremost in the investment process and no longer a requirement tacked on at the end.
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