With the Reg BI compliance deadline looming, the regulators are shifting from expecting a “Bulletproof” Regulation Best Interest (Reg BI) process by June 30, to making “Good Faith” and reasonable efforts to ensure the principles of the regulation are in place.
Tito Pombra from Adviser Compliance Consulting Inc., is an expert in good faith compliance. On May 7th, Tito joined David Reeve, CEO, InvestorCOM and Parham Nasseri, VP Regulatory Strategy, InvestorCOM to discuss what “Good Faith” actually means and how you can position your Broker-Dealer for success on June 30, 2020 and beyond.
Watch this 40-minute Webinar to learn:
- Background and core principles of Reg BI
- History of “Good Faith” compliance and predictions for Reg BI
- Actionable steps your firm can take today to avoid the frantic final hour sprint