5c. BD – Post Implementation Best Practices for Reg BI

Hear what has worked, what needs to be improved, and what may have been missed during Regulation Best Interest’s inaugural year. Gain practical perspective on how firms are confirming standard of care compliance across various product types. Receive an in-depth review of exam findings, enforcement, and regulatory speeches that have been published and understand how firms are using this information.
Learning Objectives:
• Discuss approaches firms have used to align Reg BI and Advisors Act guidance with state fiduciary rules, Reg 187 and NAIC model Rule requirements
• Learn about best interest surveillance processes and how firms are confirming standard of care requirements are being met
• Learn what examiners are focused on in regard to standard of care requirements
• Understand how firms are complying with standard of care requirements across various product types


Intermediate                        Program Level: Panel Date: November 9, 2021 Time: 10:00 am - 11:15 am Leslie Green Issa Hanna Jane Riley

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