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Reg BI: Ready for Day 2

Step up to standard of care requirements webinar.

Form CRS may have seized the spotlight, but Reg BI compliance impacts all aspects of a firm’s business practices. Learn the latest on potential Day 2 audit expectations from the SEC’s Office of Compliance Inspections and Examinations and discover keys to stepping up to the new Reg BI standard of care.

From policies and procedures to training and more, this third Broadridge Reg BI webinar will provide insight on readying your firm for its new responsibilities.

Join us to learn how Broadridge is helping firms to: 

  • Understand SEC Reg BI obligations
  • Establish compliant policies and procedures
  • Mitigate conflicts of interest
  • Prepare for Day 2 Form CRS distributions
  • Execute workflows and ongoing disclosures
  • Educate broker-dealers and registered representatives
  • Achieve fiduciary differentiation 

You’ll gain perspective on what actions firms are already taking – and what they have in the works.

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