Beth Knox – Page 88 – Equity Services, Inc

Reg BI: Preview of Upcoming Forms Changes

With the implementation of Reg BI, ESI has created several new forms to comply with the new requirements, most significant of which are the…

Beth KnoxJune 16, 2020

Training

Upcoming Training and Follow-Up Recordings

Did you miss, “An Update from Lance Reihl and Ata Azarshahi”?June 3rd's leadership update call featured Lance Reihl discussing some exciting enhancements to ESI's platform, his decision…

Beth KnoxJune 16, 2020

Advisory Solutions

Take a Seat…Let’s Chat About Fixed Income

With Treasury yields nearly as low as they can go and the Fed actively buying Treasuries and MBS again, rates are expected to remain…

Beth KnoxJune 16, 2020

Compliance & Licensing

Regulation BI Disclosure and Form CRS Training

The fourth module in ESI’s training series regarding Regulation Best Interest (“Reg BI”), the landmark regulation set to go into effect on June 30,…

Beth KnoxJune 9, 2020

Compliance & Licensing

Field Notice 2020-16: Video Conferencing for Seminars

Recently issued Field Notice 2020-06 outlined requirements for Registered Representatives (“RRs”) and Investment Adviser Representatives (“IARs”) to utilize WebEx or Zoom when conducting group…

Beth KnoxJune 9, 2020

Advisory Solutions

AssetMark Share Class Conversion

AssetMark, Inc. is committed to lowering investment costs and helping advisors deliver value to your clients. AssetMark will transition certain mutual fund strategies from…

Beth KnoxJune 9, 2020

Operations

New NFS Annual Standing Payment Instructions Letter

Effective, July 1st, ESI will begin leveraging a new NFS communication to enhance the security of client accounts with existing Standing Payment Instructions. The…

Beth KnoxJune 9, 2020

Compliance & Licensing Training

Get Ready for Reg BI

What is Reg BI?Regulation Best Interest - or Reg BI - is a landmark regulation set to go into effect on June 30, 2020.…

Beth KnoxJune 3, 2020

Advisory Solutions Product

Important Updates from AssetMark, Morningstar and Touchstone

Process Updates from AssetMark Broker Dealer Instruction: Bulk reassignment request with a letter of instructionTo move multiple accounts or clients to a different Financial…

Beth KnoxJune 3, 2020

Prospecting & Marketing Training

Keeping Momentum in Challenging Times – Rep Panel Discussion

Please join us for the third installment of our Rep Panel Discussion Series. In this session we’ll visit with Nick Pontilena of Integrated Financial…

Beth KnoxJune 3, 2020