Temporary COMET Outage

This weekend (September 6-8, 2019) DocuPace, the team behind COMET, will be completing a Data Center move between Las Vegas and Reno. This will result in the COMET system being unavailable Friday, September 6th starting at 6PM PT through Sunday, September 8th at 10pm PT. This Data Center move will not affect the functionality of COMET … Read more

The 2019 Annual Compliance Meeting

The official start of the 2019 Annual Compliance Meeting is August 1st. As of this morning, based on your affiliation and licensing, training has been assigned to you in the Quest CE and KnowBe4 platforms. Directions on how to gain entry to your profiles for each platform are included at the end of this post. … Read more

Regal Operations Newsletter July 2019

As we begin a new month, the Regal Investment Advisors / Regulus Advisors Service team has gathered a new set of useful tips. These tips cover areas that we feel answer commonly asked questions or can help advisors and/or assistants. Check Contribution Reminder One important thing to remember when submitting checks to Regal’s back office is to … Read more

Regal ADV Part 2A Brochure

Hello All, Please see the link below for the most up-to-date version of the Regal Part 2A ADV Brochure. Please replace any existing Part 2A Brochures in your possession with this version. This will need to be given to prospects and clients along with your Part 2B Brochure. If you have questions please reach out … Read more

Quarterly Billing Reminder

This is the third reminder of the upcoming advisory fee billing for the 3rd quarter 2019, July 1st – September 30th. Fees for the client accounts we bill directly on our advisory custodians will be processed between July 2 and July 8 (inclusive) with payroll transactions posting in Xtiva on July 10. You will see the direct deposit activity to … Read more

June 2019 COMET Enhancements

The Regal/Regulus Team, along with the DocuPace team behind COMET, have been working hard to bring various upgrades to the COMET platform. These upgrades are a result of a DocuPace version update, as well as, configuration changes based on advisor feedback from the field. Details of the COMET enhancements were originally announced at the Regal … Read more

Regal Operations Newsletter June 2019

As we begin a new month, the Regal Investment Advisors / Regulus Advisors Service team has gathered a new set of useful tips. These tips cover areas that we feel answer commonly asked questions or can help advisors and/or assistants. Client Investment Advisory Agreement Updated The Client Investment Advisory Agreement (CIAA) has been updated! The CIAA has … Read more

SEC Votes in Favor of a Disclosure-Based Approach to Mitigating Conflicts of Interest

Yesterday, the Securities and Exchange Commission (SEC) voted in favor of adopting a final amended version of the Regulation Best Interest rulemaking package. The commissioners voted 3-1, with Commissioner Robert Jackson Jr., the lone Democrat, dissenting on each of the package’s four provisions: the controversial Regulation Best Interest, the Form CRS Relationship Summary, the Standard … Read more

COMET Updates

The Regal/Regulus team, along with the DocuPace team behind COMET, have been working to bring additional efficiencies to the COMET platform. Below is a brief outline of the enhancements you will see in the coming weeks. Enhanced Starting Point tool Addition of Account Maintenance Addition of Cashiering Clean up of initial menu Easy access to … Read more