Reg BI – How does your firm plan to comply? – Webinar Replay
In this webinar from November 2019, Cathy Vasilev, a founding member and COO of Red Oak Compliance Solutions and Dana Rhodes, Managing Director of Enterprise Services at Riskalyze, dive into all things Reg BI. They tackle the big questions (Is Reg BI here to stay?) and the more detailed questions (What are the Form CRS Language requirements?) to help you prepare for implementation. Whether you like the changes or not, watch the webinar to get a great overview of what your firm needs by the June 30, 2020 compliance deadline.
- What is Regulation BI and what does it represent?
- The new form CRS requirements.
- Key dates and requirements to comply.
- Explanation of the four key standard obligations of the rule.
- Conflicts of Interest
- Key definitions of the rule.