Tag: Webinar

Client Focused Reforms – Implementing KYP

ON-DEMAND WEBINAR With the CFR implementation deadline fast approaching, many firms are looking for practical strategies for meeting the remaining elements of the CFRs. Watch this 60-minute on-demand webinar to hear industry experts from Assante Wealth Management and BLG discuss approaches firms can take to meet their KYP obligation. The discussion will focus on: Practical […]

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Reg BI Exams – The Care Obligation

ON-DEMAND WEBINAR With a new SEC Chair sworn in and regulators conducting Regulation BI exams that go beyond ‘good-faith’ efforts, firms will be looking to adjust their practices to meet the principles of Reg BI and close any outstanding gaps related to the Care Obligation. Watch our On-Demand Webinar to hear industry leaders from Oyster […]

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Reg BI Day 2 – Strategies and Implementation Considerations

With Reg BI now in effect, broker-dealers have taken steps to achieve varying degrees of compliance. While there has been ample time and regulatory guidance to mitigate implementation challenges, sustained compliance with Reg BI raises a host of questions. The SEC has stated that good faith efforts to comply will be recognized. However, as the […]

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