Preparing for Regulation Best Interest Compliance

Date: 
February 25, 2020 - 2:00 pm to 3:00 pm
Type: 
Webcast
Division: 
Broker-Dealer
Speaker(s): 
Thomas Grygiel, Principal Consultant, ACA Compliance Group, Susan Light, Partner, Katten Muchin Rosenman LLP, and Jane Riley, Chief Compliance Officer, The Leaders Group

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

Join us Tuesday ,February 25, 2020 at 2:00pm EDT when we will discuss how to comply with Reg BI. Thomas Grygiel, Principal Consultant at ACA Compliance Group, and Susan Light, Partner at Katten Muchin Rosenman LLP will review the requirements of the regulation, and Jane Riley, Chief Compliance Officer at The Leaders Group 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.