Here is a summary of the video featuring Jason Roberts:
- Focus: Jason Roberts discusses key compliance issues in the financial services industry.
- Main Points:
- Importance of understanding fiduciary responsibilities.
- Trends in regulatory enforcement.
- Practical advice for advisors on managing compliance risks.
- Emphasis on the need for continuous education and staying updated with regulatory changes.
- Insights: Roberts shares insights on how advisors can better serve their clients while adhering to legal and ethical standards.
For more details, you can watch the full video here.
With more than 20 years serving financial markets, John Sullivan is the former editor-in-chief of Investment Advisor magazine and retirement editor of ThinkAdvisor.com. Sullivan is also the former editor of Boomer Market Advisor and Bank Advisor magazines, and has a background in the insurance and investment industries in addition to his journalism roots.