Reg BI: Stepping Up to a New Standard of Care

In the second of our Reg BI Webinar Series, experts at Broadridge delve into the steps firms must take to become compliant and audit-ready for Reg BI:

• Implement Form CRS – via print and digital – with confidence
• Leverage industry-recognized data to score and validate requirements
• Gain transparency into share class and fund suitability
• Levelize cash and non-cash compensation
• Educate broker-dealers and registered reps
• Establish post-trade surveillance, reporting and auditability
• Execute workflows and ongoing disclosures

You’ll gain perspective on what actions firms are already taking, and what steps you need to do now to turn Reg BI from a regulatory requirement into your value proposition.