COMPLIANCE ADVISORY
US SEC Regulation Best Interest (17 CFR 240.15l-1) Readiness Advisory
Score your readiness for free, then turn the results into a plan in a 30-minute strategy call with Ivanka, co-founder of The Art of Service, which has trained 54,000+ professionals across 160+ countries.
Why work with Ivanka on US SEC Regulation Best Interest (17 CFR 240.15l-1)
The SEC's best interest standard for broker-dealer recommendations to retail customers: the general obligation and its four components (written disclosure of capacity, costs, services and conflicts; reasonable-basis, customer-specific and quantitative care; conflict identification, disclosure, mitigation and the ban on product-specific sales contests; a compliance program), plus the six-year…
Compliance work stalls when it is treated as a checklist. Ivanka treats US SEC Regulation Best Interest (17 CFR 240.15l-1) as a strategic decision: what matters most for your organisation, what to do first, and what your leadership team needs to understand. For 25 years she has built The Art of Service, whose compliance platform now covers 1,062 frameworks.
The free readiness assessment scores your organisation against the 16 controls across 7 domains of US SEC Regulation Best Interest (17 CFR 240.15l-1). The strategy call turns those scores into priorities.
Relevant credentials
- Co-founder of The Art of Service, which has trained 54,000+ professionals across 160+ countries
- MIT Entrepreneurial Masters Program graduate
- EXIN Expert Panel member
THE STRATEGY CALL
What you get in 30 minutes
Ivanka reviews your US SEC Regulation Best Interest (17 CFR 240.15l-1) readiness scores with you and agrees which gaps matter most. Specific to your results, not generic advice.
A clear, prioritised plan for addressing gaps across 7 domains: what you can build on from existing work and what needs new investment.
How US SEC Regulation Best Interest (17 CFR 240.15l-1) fits with the other obligations you already manage, so it strengthens your existing programme instead of running beside it.
Domains covered in US SEC Regulation Best Interest (17 CFR 240.15l-1)
Plus 1 additional domains. See the full assessment →
This is for you if
- You need to achieve US SEC Regulation Best Interest (17 CFR 240.15l-1) compliance but don’t know where to start or how to prioritise
- You’ve been told you’re “compliant” but suspect gaps exist that haven’t been properly assessed
- You manage compliance for broker-dealers, dual registrants (broker-dealer and investment adviser), bank-affiliated brokerage, independent broker-dealer networks, retirement rollover and annuity distribution organisations and need expert guidance, not generic templates
- You want to leverage existing compliance efforts across multiple frameworks rather than starting from scratch
- You need a strategic plan your leadership team and board will actually understand and support
Start with a free assessment. Then let's talk strategy.
Take the free US SEC Regulation Best Interest (17 CFR 240.15l-1) readiness diagnostic. In 5 minutes you'll have a clear picture of where your gaps are. Then book the strategy call and Ivanka will help you decide how to close them.
Free · No login required · Results in 5 minutes
Or go directly to the $149 Report + Strategy Call