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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.

Topics Covered

  1. What is Regulation BI and what does it represent?
  2. The new form CRS requirements.
  3. Key dates and requirements to comply.
  4. Explanation of the four key standard obligations of the rule.
    • Disclosure
    • Care
    • Conflicts of Interest
    • Compliance
  5. Key definitions of the rule.
About Red Oak Compliance Solutions

Red Oak Compliance Solutions is the global advertising review software of choice in the financial services industry. It is a comprehensive suite of SEC 17A-4 compliant features that are 100% books and records compliant and provides clients with 35% faster approvals and 70% fewer touches or better. We also offer Smart Review(SM), which solves for the storage and maintenance of disclosures, helping firms reduce risk, decrease review times, and increase the speed of distribution of marketing materials. Smart Registration(SM) automates the licensing and registration management process to help reduce regulatory risk and time spent on manual processes. Overall, Red Oak allows firms to minimize risk, reduce costs, and increase compliance review process effectiveness and efficiencies.

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