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Regulation Best Interest: How does your firm plan to comply?

Monday, Nov 11
1-2 PM PT / 4-5 PM ET
Cathy Vasilev, Founding Member - Chief Operating Officer at Red Oak Compliance Solutions
Dana Rhodes, Managing Director, Enterprise Services at Riskalyze

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What You’ll Learn in This Webinar

Learn from experts about the SEC's recent ruling of Regulation Best Interest (Reg BI) which requires broker-dealers to not only recommend financial products to their customers that are in their best interests, but to also clearly identify any potential conflicts of interest and financial incentives the broker-dealer may have with those products.

In the new world of "enhanced suitability" in regards to a client's best interest, better understand how ambiguous terms like "Conservative" or "Moderately Aggressive" to describe risk tolerance, or target allocations like a 60/40 sample portfolio simply won't cut it in this increasingly strict regulatory environment.

Discover how Riskalyze's bullet-proof risk assessment and alignment methodology, combined with its intuitive Compliance Cloud monitoring, is empowering large wealth management firms to help meet the four Reg BI obligations: Discloser, diligent care, conflict of interest, and compliance obligation. 

this webinar starts in

2019/11/11 1:00 PM

About The Hosts

Cathy Vasilev
Founding Member and Chief Operating Officer at Red Oak Compliance Solutions

Cathy brings more than 25 years of compliance and supervisory expertise in independent broker-dealers, wire-house broker/dealers, and RIAs. Cathy served as the Assistant Vice President of Supervisory Systems and Controls at NFP Securities, an independent broker/dealer, and RIA. She was an Associate Manager for Prudential where she supervised 75 representatives, performing all compliance functions for the branch. She began her career as a stockbroker for Salomon Smith Barney and later moved to compliance and operations. Cathy has a Masters of Business Management degree. She is a member of the Association of Compliance Professionals; a member of National Society of Compliance Professionals; a member of Compliance and AML Professionals; and has FINRA Series 7, 24, 26, 63 and Life and Health licenses.

Dana Rhodes
Managing Director of Enterprise Services at Riskalyze

An alumnus of Invesco and NFP, Dana Rhodes was most recently Vice President of Advisory Services at Kestra Financial. Now as Managing Director of Enterprise Services at Riskalyze, she oversees the development and design of enterprise advisory platforms for large wealth management clients. She holds series 6, 7, 26, 63 and 66 licenses. 

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