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Reg BI: Stepping Up to a New Standard of Care

Listen to Webinar to accelerate Reg BI Readiness.

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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