Compliance with Regulation Best Interest (Reg BI) and Form CRS is required by June 30, 2020. Firms need to comply – and prove they’re doing so. More than executing Form CRS, they need to step up to a new Standard of Care.
Learn what’s required of your firm and what tools are available to help your broker-dealers and registered reps succeed on the frontlines. In the second of our Reg BI webinars, experts at Broadridge delve into the steps firms must take to become compliant and audit-ready for Reg BI.
Join us to learn how we are helping firms to:
You’ll gain perspective on what actions firms are already taking – and what they have in the works._1591187019950