Compliance Update

Corrected: Updated ADV Part 2A (11/27/2019)
and the RIA Compliance Manual

Please see the links below for the most recent updates to the Regal ADV Part 2A as well as the Regal RIA Compliance Manual. The previous ADV date of 3/29/2019 will no longer be accepted for advisory paperwork dated 12/19/2019 or later. Please begin providing your clients with the updated ADV dated 11/27/2019.  The RIA Compliance Manual will go into effect immediately.

Download ADV Part 2A ▸

Download RIA Compliance Manual ▸


If you have any questions please reach out to Ben Westin (bwestin@regalfin.com) or Abigail Morgan (amorgan@regalfin.com).

Thank you for everything you do!

The Compliance Team

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