Preparing for Regulation Best Interest Compliance

Date
February 25, 2020
Time
On Demand
Location

Your desk!

Type
Webcast

Broker-dealers need to comply with Regulation Best Interest (Reg BI) by June 30, 2020. Will your firm be ready?

On Demand

Join ACA for a discussion on how to comply with Reg BI. ACA's Thomas Grygiel, Principal Consultant, and Katten Muchin Rosenman's Susan Light, Partner will review the requirements of the regulation, and the Leaders Group's Jane Riley, Chief Compliance Officer, will share her experiences implementing the requirements at her firm.

Discussion Topics

This webcast will cover the implementation of:

  • Disclosure Obligation
  • Conflicts of Interest Obligation
  • Care Obligation
  • Compliance Obligation
  • Preparation and Filing of Form CRS

Who Should Attend

This webcast will be great for broker-dealer compliance professionals at all stages of implementation of the regulation.

Additional Resources

Visit our Regulation Best Interest Assistance page for more information about the regulation and how ACA can help your firm comply.