Regulation Best Interest and Form CRS: Two Years In
FINRA Unscripted
English - June 28, 2022 11:00 - 38 minutes - 35.7 MB - ★★★★★ - 45 ratingsGovernment Business finra compliance regulation regulator financial services stocks bonds stock broker brokerage firm investing Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
June 30th marks the second anniversary of the implementation of Regulation Best Interest and Form CRS and we are celebrating with a deep dive into everything FINRA has learned on the topic over the last two years.
On this episode, Meredith Cordisco, associate general counsel with the Office of General Counsel, Scott Gilbert, vice president covering the large diversified firm group and alternative net capital group within Member Supervision, and Nicole McCafferty, senior director with the National Cause and Financial Crimes Detection Program, join us to talk about how FINRA is examining around the new regulations and explore some of the common problem areas and effective practices when it comes to complying with all that is now required.
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Resources mentioned in this episode:
Episode 63: Implementing a New Standard of Care
Episode 45: Preparing for a New Standard of Care
Episode 69: Excessive Trading: When A Lot Becomes Too Much
2022 Report on FINRA’s Exam and Risk Monitoring Program: Reg BI and Form CRS