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 […]
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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 […]
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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 […]
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