Compliance Checkup

November 2019 Hello and welcome to the Compliance Checkup for November. This month we will be discussing the requirements for the Three (3) Year New Account Form updates and how advisors will be asked to make sure their client’s accounts are up to date. Please be aware that this process has been updated since we … Read more

Q3 2019 Fact Sheets Available Online

The fact sheets for our Boutique Money Managers are now available on the Marketing Fulfillment and RegalRIA.net11 websites, including Dunamis, Durand, Pelican Bay, Regalfolios, and North Star. IARs can also download electronic copies directly from RegalRIA.net. Please visit the link below to place a print order. Visit the Marketing Fulfillment Center ▸1212 If you have … Read more

Quarterly Billing Reminder

This is the final reminder of the upcoming advisory fee billing for the 4th quarter 2019, October 1st – December 31st. Fees for the client accounts we bill directly on our advisory custodians will be processed between October 2 and October 7 (inclusive) with payroll transactions posting in Xtiva on October 9. You will see the direct deposit activity to … Read more

Compliance Checkup

Hello and welcome to the Compliance Checkup for September. This month we will be reviewing the CIAA fee schedule, client account information requirements and the Annual Compliance Meeting (ACM). Important Compliance Dates September 30th : September 30th is the last day to complete your Annual Compliance Meeting (ACM) training. Additional info below. October 1st : CIAA Fee Schedules dated October 1st or … Read more

Pre-Billing Dashboard

In preparation of the 2019 Q4 Advisory Billing, the Regal Team is continuing the Pre-billing best practice that was introduced for Q3. To provide for greater accuracy some additional “checks and balances” have been put in place, Regal implemented a pre-billing audit process to assist in ensuring the most accurate possible fee billing process. In addition to the internal audits that … Read more

Quarterly Billing Reminder

This is a reminder of the upcoming advisory fee billing for the 4th quarter 2019, October 1st – December 31st. Fees for the client accounts we bill directly on our advisory custodians will be processed between October 1 and October 7 (inclusive) with payroll transactions posting in Xtiva on October 9. You will see the direct deposit activity to your bank … Read more

DocuSign Activation Email

In the recent ‘Update from the CEO’ email, it was announced that the Regal team has been hard at work to bring eSignature capabilities to the Advisor field. The Regal team is currently testing the capabilities and processes in a non-live site of COMET. During this set up and testing process, Regal and Regulus COMET users were … Read more