Reg BI - It's A Bigger Deal Than You Might Think

Oyster Stew - A Broth of Financial Services Commentary and Insights

English - October 09, 2019 17:00 - 20 minutes - 14 MB - ★★★★★ - 7 ratings
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Previous Episode: Reg BI - Now in Play

Next Episode: Reg BI - Conflicts of Interest Obligation

(Recorded October 3, 2019) Reg BI is a bigger deal than you might think, and the implementation deadline is only 9 months away. This episode presents an overview of the four Obligations of Reg BI and what firms need to be doing. Reg BI will affect many, many aspects of a firm's policies and operations, from marketing and advertising to compensation, recommendations and communications, to name a few.

In this episode our experts provide an update on what regulators and industry members are saying, and touches on the complexity of Form CRS.

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