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Reg BI: Stepping Up to a New Standard of Care

Register for Webinar: January 23, 2PM EST

Compliance with Regulation Best Interest (Reg BI) and Form CRS is required by June 30, 2020. Firms need to comply – and prove they’re doing so. More than executing Form CRS, they need to step 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.


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