Tegra118's Financial Planning Solutions Helps Broker-Dealers With Reg BITegra118's Financial Planning Solutions Helps Broker-Dealers With Reg BI

June 5, 2020

Tegra118's Financial Planning Solutions Helps Broker-Dealers With Reg BITegra118's Financial Planning Solutions Helps Broker-Dealers With Reg BI

June 5, 2020

Five Ways Tegra118’s Financial Planning Solution Helps Broker-Dealers Achieve Regulation Best Interest Compliance Obligations 

Providing Disclosure of Material Facts of Client Relationships (Disclosure Obligation) 

Our technology provides financial planning capabilities that allow advisors to develop a financial plan that is in their clients’ best interest and provide material facts about investment recommendations 

Proving and Providing Documentation that Clients’ Best Interest Are Put First (Care Obligation) 

Our technology allows advisors to capture held-away assets and provides them with a reasonable basis for making best interest financial decisions 

Providing the Risks, Costs, and Rewards of Advisors’ Recommendations and Avoiding Conflicts of Interest (Conflict of Interest Obligation) 

Our technology allows advisors to assess client risk tolerance and capture fees to demonstrate adherence to care obligation with accurate and up to date data 

Creating Policies and Procedures to Demonstrate Advisors’ Commitment to Complying with Regulation Best Interest (Compliance Obligation) 

Our technology allows advisors to document and archive key interactions with client to fulfill best interest  compliance obligation 

Providing Client Relationship Summary (CRS) Form To Ensure the Investment Program is in the Client’s Best Interest (Compliance Obligation) 

Our technology provides ability to surface new disclosures, including Form CRS Relationship Summary 

Perspective - March 7, 2020

IWD: Let's Together Lead the Charge for Change

It feels right that my first published article as a newly appointed Chief Executive Officer is in celebration of our day—International Women’s Day. And as I embrace my new role, the weight of being one among the 19% of women who hold a C-suite position in the US is a reality I take to heart. Being a woman in technology and financial services for over 30 years, I know a little something about the challenges and hurdles of the path to leadership. As an executive with a strong network of women and men, I am compelled to help lead the charge for change. Leaders play a significant and key role in seeing to it that today’s talent can elevate to become tomorrow’s diverse leaders. As I am discovering, my own efforts toward this mission are among my most fulfilling and, I believe, mutually rewarding.