Are You Ready for Regulation Best Interest?

Date: 
June 09, 2020 - 2:00 pm to 3:30 pm
Type: 
Webcast
Division: 
Broker-Dealer
Speaker(s): 
Thomas Grygiel, Principal Consultant, ACA Compliance Group, David Porteous, Partner, Faegre Drinker

The June 30, 2020 compliance date for Regulation Best Interest (“Reg BI”) and Form CRS is fast approaching. Both the SEC and FINRA have stated they will conduct examinations after the compliance date that will focus on whether a broker-dealer has made a “good faith” effort to comply with the new regulations.

Will your firm be ready?

Join us Tuesday, June 9, 2020 at 2:00 pm ET / 11:00 am PT when we will discuss how firms are preparing to comply with these regulations by the end of the month.

Discussion Topics

This webcast will cover:

  • Approaches to Reg BI and Form CRS
    • Conflicts, Inventory, and Remediation
    • Disclosures
    • Written Procedures
  • Challenges (e.g. Use of the Term Adviser)
  • SEC and FINRA Exam Focus
  • ACA’s Reg BI Readiness Survey Results

Who Should Attend

This webcast is ideal for compliance professionals at broker-dealer and dual registrant firms.