Reg BI and the Future of Compliant Investment Recommendations

Webinar - Reg BI and the Future of Compliant Investment Recommendations

Broker-dealers have known about the pending Reg BI deadline since June 2019. While the Coronavirus pandemic and pending Reg BI lawsuits have created speed bumps, the main question remains: How can broker-dealers demonstrate they are acting in the best interest of retail clients when making investment recommendations?

In this 45-minute webinar, industry experts from Morningstar, RumbergerKirk, and InvestorCOM discuss:

  • Regulatory and legal implications of Reg BI and the Care Obligation on broker-dealers and associated persons
  • Options for illustrating that ‘Reasonably Available Alternatives’ have been considered when making  investment recommendations
  • Best practices around disclosure and record keeping when making recommendations in a remote-work environment

 

Click here learn more and to register.