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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