Reg BI Exams: The Care Obligation

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 this Webinar to hear industry leaders from Oyster Consulting and Faegre Drinker discuss how to embrace Reg BI from a compliance and technology perspective.

This 60-minute session will cover:

  • Examination priorities, lessons learned, and how to identify and mitigate conflicts.
  • The impact of Reg BI on your product shelf.
  • Best and (not so best) practices for meeting the Care Obligation.
  • Extending the suitability requirements and relying on manual self-attestations to meet the Care Obligation.

Register Today!

Meet Your Speakers

Ed Wegener Oyster Consulting LLC

Ed Wegener, Managing Director, Oyster Consulting LLC

Ed Wegener is an innovative compliance, risk management and supervisory controls expert with deep understanding of Federal Securities Laws and the rules of self-regulatory organizations, as well as technology optimization and risk mitigation. Prior to joining Oyster, Ed held several posts in FINRA, most recently as  Senior VP and Midwest Regional Director.  While there, he was responsible for the Region’s risk assessment, examination and investigation programs. Ed was a member of the team that developed FINRA’s risk-based examination program and he developed and managed FINRA’s first Digital Asset and Cybersecurity examination programs.

David Porteous Faegre Drinker

David Porteous, Partner, Faegre Drinker

David Porteous routinely counsels clients in the investment management, broker-dealer and financial services industries on regulatory matters including examinations, investigations and enforcement proceedings as well as complex civil and securities-related litigation. In addition, he assists clients in developing and implementing compliance and regulatory risk management plans and represents clients in complex civil and securities litigation.

Dave Carr-Pries InvestorCOM

Dave Carr-Pries, Vice President, Product & Marketing, InvestorCOM

Dave has spent the last decade helping financial organizations be compliant while focusing on the client experience. He delivers best-in-class design practices, technology, and a passion for creating intuitive experiences and solutions. Dave supported the industry’s adoption and implementation of CRM2 through investor and advisor research, CRM2 report design for 30 Canadian dealers including banks, insurance companies and mid-sized independent dealers. He has since been focusing on delivering solutions for Client Focused Reforms in Canada and Regulation Best Interest in the US.

Parham Nasseri InvestorCOM

Parham Nasseri, VP Regulatory Strategy, InvestorCOM

Parham Nasseri has over a decade of wealth management and regulatory experience. He is the Chair of the Canadian Advocacy Council of CFA Societies Canada and previously held roles at the Ombudsman for Banking Services & Investments and the Brattle Group. Mr. Nasseri holds a CFA Charter and an MBA from Schulich School of Business.