12a. BD/IA – Lessons Learned from Implementing Reg BI for Medium to Large Firms (Intermediate)

Hear from industry professionals on what has worked, what needs to be improved, and what may have been missed in compliance programs during the first several months of compliance with Regulation Best Interest.

Learning Objectives:

  • Discuss the challenges have firms faced reconciling Form CRS with Reg BI delivery
  • Hear about training hits and misses and on-going training plans
  • Identify additional conflicts that have been identified
  • Share examination experiences and expectations


Sponsored by:

Intermediate                        Program Level: Date: October 21, 2020 Time: 3:45 pm - 5:00 pm Jeannette Lewis Tom Selman

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