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 Fi360
Fi360, a Broadridge® Company, is a fiduciary education, training and technology company that helps 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, Fi360 is the home of the Accredited Investment Fiduciary® (AIF®) designation, the Fiduciary Focus Toolkit™ and the Fi360 Fiduciary Score®. Fi360 is also the parent company of CEFEX and 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, via Twitter or on LinkedIn.
About Broadridge
Broadridge Financial Solutions, Inc. (NYSE: BR), a $4.5 billion global Fintech leader, is a leading provider of investor communications and technology-driven solutions to banks, broker-dealers, asset and wealth managers and corporate issuers. Broadridge's infrastructure underpins proxy voting services for over 50 percent of public companies and mutual funds globally, and processes on average more than U.S. $10 trillion in fixed income and equity securities trades per day. Broadridge is part of the S&P 500® Index and employs over 12,000 associates in 17 countries.
For more information about Broadridge, please visit www.broadridge.com
報道関係者 お問い合わせ先 :03-5425-7220, アシュトン・コンサルティング BroadridgeJapanPR@ashton.jp。