D
David Reeve
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Jun 22, 2026
[Governance Series] Transforming Wealth Management Compliance With David Reeve
21:22
21:31
21:40
21:48
22:01

David ReeveGUEST
Our, our, uh, products-- So we've got a whole platform, uh, that support, I'll call it pre-trade compliance in the wealth management world.

David ReeveGUEST
And pre-trade is, is something that's evolved with most Western regulators in the last five or ten years, where they, where they say, you know, doing post-trade compliance isn't good enough.

David ReeveGUEST
You need to perform these, you know, pieces of analysis to essentially ensure, um, that it's in the investor's best interest.

David ReeveGUEST
The one area that I'll just speak to, and I could go on with, on a bunch of things we do, but, uh, th-this, this, this one trillion dollar that's rol-rolling from 401Ks to IRAs, I mean, that's a very compliance-focused event.

David ReeveGUEST
And so what our software ensures is that the advisor, when recommending a rollover to the investor, has performed all the required function, comparing cost, comparing service, comparing fit, and then providing kind of that data for the, the firm to be able to put some guardrails around what should and shouldn't, you know, be approved from a rollover perspective.
