Preparing for Regulation Best Interest Compliance
Date
Time
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?
Watch on demandJoin 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.