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

Fill in & submit the form below to download this ComplianceCast™

Thank you!

Your download will appear below momentarily.

Download Now.


Subscribe to CSS Blog

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.

Latest Content

BME Partners with CSS to Strengthen its Regulatory Service Suite

BME to offer financial services firms in Spain and Portugal a multi-regulation reporting platform Partnership brings a unique combination of local market presence and global coverage BME has partnered with Compliance Solutions Strategies (CSS), a leading RegTech platform provider, to offer a global regulatory reporting solution in Spain and Portugal. The combination of BME’s local … Continued

Compliance Solutions Strategies Acquires AMFINE

Combination Creates First Fully End-To-End Compliance Reporting Platform NEW YORK, September 10, 2020 – Compliance Solutions Strategies (“CSS”), a leading RegTech platform providing technology-driven solutions which enable financial services firms to meet mandatory regulatory compliance requirements, today announced the acquisition of AMFINE (“AMFINE”), a provider of SaaS-based regulatory reporting services to European asset managers, asset … Continued

Compliance Culture in a Bottle

What makes one firm – and the various professionals who represent it – live and breathe by the book, while others are a bunch of scofflaws? I can tell you this for sure: there is no magic potion that you can buy to embed a culture of compliance in an organization. As cliché as it … Continued