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