Regulation Best Interest

August 28, 2019 - 3:00 pm to 4:00 pm
Thomas Grygiel, Principal Consultant, ACA Compliance Group Ben Marzouk, Counsel, Eversheds Sutherland, and Jane Riley, Chief Compliance Officer, The Leaders Group

Regulation Best Interest (Reg BI) requires broker-dealers and their representatives to act in the best interest of retail customers when recommending securities investments or investment strategies to retail customers. How can you ensure your recommendations comply with this regulation?

Join us August 28 at 3:00 PM ET when we will break down the requirements of this regulation and what it means for broker dealers.

Discussion Topics

  • Reg BI – The Basics
  • Identifying Conflicts of Interest
  • Form CRS and Disclosure Requirements
  • Reg BI vs. DOL Fiduciary Rule
  • State Fiduciary Updates
  • Practical Considerations for Crafting a Compliance Program Around Reg BI