Regulation Best Interest is a sweeping regulatory regime and those effected need guidance on how to navigate complex rules. Jasmin Sethi has extensive knowledge of the best-interest standard for broker-dealers and Regulation Best Interest. SCA can advise broker-dealers on how to comply with their obligations under federal and state regulations. SCA can help turn regulatory challenges into competitive advantages as we help you serve your client in their best interest.

The financial industry increasingly relies upon regulatory technology to advance their compliance with FINRA and SEC rules. SCA has worked with clients to build software to mitigate the costs of compliance with SEC and FINRA marketing rules. We continue to partner on the development of compliance software that addresses current and future regulatory challenges.

SCA works with clients to advocate for intelligent and comprehensive financial regulation from the SEC through collaborating on comment letters. The SEC allows interested parties to submit comment letters to suggest new provisions, revisions or exclusions to proposed regulations. SCA can help advocate for your business’ needs by researching and writing comment letters to help inform SEC rulemaking so it best serves your business.

SCA has advocated for and developed ESG best practices. For Morningstar, Inc., Jasmin has co-authored comment letters to the SEC on emerging SEC regulations. The deep expertise acquired through this work allows SCA to work with a variety of companies on developing their own ESG policies and procedures.

Using her extensive experience in the legal and asset management industries, Jasmin regularly publishes articles in Forbes, Advisor Perspectives, and Morningstar on issues at the intersection of these industries. Jasmin opines on how recent financial regulation impacts investors, the effects of novel investment technologies on retail investing practices, among many other topics at the frontier of financial regulation. Throughout her writing, she seeks to promote the financial access, literacy, and empowerment of retail and institutional investors.

Sethi Clarity Advisers empowers small businesses to enhance financial wellness for their employees and see which direction is right for your business. Many small business owners do not realize that there are a range of options for a small business to provide retirement support and benefits for their employees and/or contractors short of instituting a full-blown 401k plan. SCA provides customizable retirement solutions designed specifically for small businesses like yours. SCA offers a full range of services for those wishing to get started on retirement benefits for their small business.