Regulation Best Interest

Are you ready?


A changing landscape
In a nutshell, Regulation Best Interest requires broker-dealers to act in the best interest of a retail customer when making a recommendation of any securities transaction or investment strategy involving securities and cannot place their own interests ahead of the customer’s interests. This new regulation, along with other sea changes across the advisory industry (e.g., market environment, competitive landscape, client and advisor demographics), suggest that the cornerstones of a successful advisory business are likely to look different in the future.

What might these changes mean for your practice?
We believe that advisors who thoroughly re-examine their practice along four key dimensions are likely to experience success in the future: Adopting a CEO mindset focused on strategy and risk management; Recommitting to a client-centric approach centered on what clients value most; Developing a product strategy that is clearly aligned with client outcomes; and Effectively managing the advisory team and workflows.

  • Business Risk Management
  • Strategic Planning
  • Resource Allocations Branding
  • Growth Strategy Retention
  • Process Systematization

Four key drivers of potential future success

Run my business like a CEO and Client-centric engagement

  • Holistic Family Wealth Planning
  • Meaningful Discovery
  • Proactive Engagement
  • Behavioral Coaching
  • Engagement Roadmap

  • Effective Team Structure
  • Team Skills Development
  • Role Clarity & Accountability
  • Team Leadership
  • Succession Planning

Team-based approach and Disciplined product strategy

  • Inventory Management
  • Transition to Advisory
  • Tax Management
  • Volatility Management
  • Portfolio Reviews

Take the readiness assessment



Regulation Best Interest Readiness Assessment
The time to adapt is now. Take the Readiness Assessment shown here to begin identifying areas of strength and opportunity for your practice so that you can be optimally positioned for growth into the future. Use this information in conjunction with your firm’s Regulation Best Interest guidance to ensure internal compliance is met.



If you answered NO to any of these questions, Russell Investments can help!

Provide your contact information below and we will debrief your Assessment with you and take you through a process that will equip you with a prioritized execution plan.

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