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NEW YORK, Feb. 6, 2020 — Fi360, a Broadridge® Company and a leading provider of fiduciary-related education and technology, has introduced a new Regulation Best Interest (“Reg BI”) training solution to better equip financial professionals to meet new requirements ahead of the June 30, 2020, implementation deadline. Designed for broker-dealer home office personnel, their representatives and advisors in the field, the training solution aims to help individuals and corporations understand, apply and reliably comply with Reg BI needs.
The program was developed by Fi360 with legal assistance from regulatory expert Fred Reish, a partner at Drinker Biddle. The training focuses on the practical application of the regulatory requirements and can be customized to align with firm-specific compliance plans. The comprehensive training program is anchored by several key learning objectives, including:
Michael Muirhead, AIF®, PPC®, Senior Vice President, Learning and Development at Fi360, notes proper training is essential for financial professionals to comply with the evolving regulatory landscape.
“It’s important for representatives of a registered investment adviser or broker dealer to understand the Regulation Best Interest rule in order to comply with the regulatory package. It’s likely to be a stepping-stone regulatory package, so it’s essential that advisors get on board now,” Muirhead says.
Upon completion of the course, which takes anywhere between two and four hours to complete, organizations will be able to understand the substance of the SEC Regulation Best Interest rules package and much more.
“We are committed to empowering advisors to navigate the new normal while still adhering to a fiduciary standard and the prudent principles on which they base their practices,” adds Muirhead
For more information on this course and Fi360’s other offerings for fiduciary-minded advisors and financial professionals, please visit www.Fi360.com. To view all of Broadridge’s Reg BI resources and solutions, visit www.broadridge.com/regbicomply.
About Broadridge Fi360 Solutions
Broadridge Fi360 Solutions provides fiduciary education, training and technology to help financial intermediaries use prudent fiduciary practices to profitably gather, grow and protect investors' assets. Since 1999, the firm has provided financial professionals with the tools necessary to act as a fiduciary in their work with investors. Headquartered in Pittsburgh, PA, Broadridge Fi360 Solutions is the home of the Accredited Investment Fiduciary® (AIF®) Designation, the Fiduciary Focus Toolkit™, CEFEX and the Fi360 Fiduciary Score®. Fi360 was acquired by Broadridge Financial Solutions, Inc. (NYSE:BR), a global Fintech leader and part of the S&P 500® Index, in 2019. Learn more at www.Fi360.com.
Broadridge Financial Solutions (NYSE: BR), a global Fintech leader with $5 billion in revenues, provides the critical infrastructure that powers investing, corporate governance and communications to enable better financial lives. We deliver technology-driven solutions that drive business transformation for banks, broker-dealers, asset and wealth managers and public companies. Broadridge’s infrastructure serves as a global communications hub enabling corporate governance by linking thousands of public companies and mutual funds to tens of millions of individual and institutional investors around the world. Our technology and operations platforms underpin the daily trading of more than U.S. $9 trillion of equities, fixed income and other securities globally. A certified Great Place to Work®, Broadridge is part of the S&P 500® Index, employing over 13,000 associates in 21 countries.
For more information about us and what we can do for you, please visit www.broadridge.com.
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