White Paper

Reg BI Day 2: Implementation Considerations after June 30

The Reg BI deadline is now behind us. What you do next depends on your firm’s state of readiness.

This white paper proposes a roadmap for firms on their implementation journey and examines:

  • The various aspects of Reg BI compliance efforts taken to date
  • The state of industry readiness and the three broad categories that firms fall into
  • The approach industry leaders are taking in the operational aspects of compliance risk management – including monitoring and policy management, compliance training and communication.

Download the white paper to learn more.