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as our valued client, you are invited to...

Connect & Collaborate

What is it?

This approach originated from discussions with clients regarding ongoing regulatory requirements. While no meetings are currently scheduled, C5 proudly meets with clients or groups or clients as requested. 

When is the Call?

The Date is being determined.

What is the Focus?

Follow up for the Discussion from January 9

We gave an update of Techmate's experience thus far with Reg BI and Form CRS. Clarifying questions were asked and discussion ensued. The Primary Focus is reviving the DOL commission recalculations for possible use to help address Conflicts of Interest involving Rep Compensation. 

Follow up for the Discussion from February 4

Our goal was to determine what Techmate can build into WinOps to assist with Reg BI Compliance. We worked through a number of the items on FINRA's BI checklist.  How to avoid unknowingly committing to monitoring when that isn't the intent was discussed. Further discussion came on reasonable alternatives to recommendations. A system for tracking CRS Versions and delivery dates would be useful, especially to prospects before account paperwork systems are engaged. Is there value in having risk metrics tools engaged in WinOPS?  Much discussion but no strong conclusion was reached. 

Is there an Agenda for the Meeting?  Yes,provided in Advance

How Can I/We Request a Meeting?

Click Here to connect with Rod Lueck, our CEO, with our Next Steps.

We look forward to working with you!

Next Meeting Date TBD

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