Navigating the Challenges of Preparing for and Implementing Reg BI – Are You Ready?

We help you prepare by tackling a number of key issues:

  • How will the SEC and FINRA assess your Reg BI program?
  • How should your firm prepare NOW for the coming SEC and FINRA scrutiny?
  • Reg BI disclosures – where do the Form CRS conversation starters fit in?
  • We’ll also provide some take away tips for effective implementation.
  • With the June 30th Reg BI deadline on the horizon, be sure to join our ComplianceCast.

Presenters:

John Gentile
Director, Private Funds and Broker-Dealer Services
Compliance Solutions Strategies

Jacqueline Hallihan
Executive Director
Compliance Solutions Strategies

Ariana N. Monchik, IACCP
Senior Consultant
Compliance Solutions Strategies

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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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