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How regulation impacts what I can do with technology image

You’ll hear from:

Simon D. Lister, Dip PFS
Jamie McIntyre, CFP

Episode breakdown:


0:33 – Including risk warnings while utilizing the benefits of communicating via video
3:10 – Using technology to help set expectations with clients
4:29 – Knowing that regulators don’t want advisors to lead messaging with products
6:30 – How regulators monitor social media activity
7:05 – The importance of keeping records of everything that’s done
9:31 – How regulation impacts the quantity and quality of advisors

in MDRT PodcastJan 2, 2025

How regulation impacts what I can do with technology

The more advisors utilize video messaging, social media, and other areas of technology, the more they need to make sure they are maintaining compliance. In this episode, MDRT members share how they have benefited from technology in their practice while prioritizing all necessary regulations.

Regulatory complianceTechnology
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Featured in this audio

Simon D. Lister, Dip PFS

Jamie McIntyre, CFP