With the compliance date approaching, in this webcast, we will provide an overview of what has become one of FINRA’s top priorities, Regulation Best Interest (Reg BI) and the Form CRS requirement, focusing specifically on the anticipated effects for market participants in the structured investments sector. We will discuss:

  • Overview of the regulation;
  • What types of conflicts specific to this market should be disclosed?
  • What should you focus on if you do not face retail customers?
  • What changes are retail-facing distributors and other intermediaries likely to require from product manufacturers?
  • Guidance to date from the SEC and FINRA; and
  • Proposed changes to FINRA’s suitability rule to conform to Reg BI.

Speakers

  • Thomas Grygiel, ACA Compliance Group
  • Marlon Paz, Mayer Brown LLP

Date & Time
Tuesday, February 18, 2020
12:00 p.m. – 1:00 p.m. ET


CLE is not available when viewing a recording of this program. In order to receive credit you must have attended the live webinar program.

Downloads –

Related Capabilities

Practices –

Events

View More