Regulatory Research & Due Diligence

Kehrer Bielan provides research that helps firms act in the best interest of their clients.

The Department of Labor’s Fiduciary Rule was a fire drill for the financial advice industry that consumed months of resources, but Kehrer Bielan’s research helped the bank insurance and securities community navigate the shifting landscape, assess alternative responses, and take a strategic, data-driven approach to get positioned for a new era. 

As the SEC and various states put forward new approaches to requiring fiduciary duty or defining the difference between financial advisor and investment brokers, Kehrer Bielan continues to provide research that helps firms assess their product and service providers, and the tools that provider governors on their sales process.

Available Regulatory Research & Due Diligence Reports

Due Diligence Research on Individual Third Party Broker Dealers (TPMs)

Due Diligence on Turnkey Asset Management Provider (TAMPS) Prospectus (2015)

Due Diligence on Software Supporting Best Interest Product Selection

 

*Complimentary study