Скачать или смотреть On-Demand Webinar: 2023 - SEC & FINRA's Focus on Reg BI's Care Obligation

FINRA’s 2023 risk monitoring report, the SEC’s Risk Alert on Reg BI and 2023 Exam Priorities are three recent regulatory reports that call out deficiencies and a continued focus on Reg BI’s Care Obligation.

With regulators calling for more to be done, we invite you to join us on March 9 at 1 pm ET to hear industry experts from Faegre Drinker, Scopus Financial Group and Oyster Consulting discuss:

Insights and observations that firms can use in strengthening their compliance programs.
How to leverage technology to consider reasonably available alternatives (RAA) when making recommendations.
Monitoring best interest rollover and account recommendations.
How to prepare for the retrospective review requirements.
How to establish a product review process to identify and categorize risk and complexity levels for existing and new products.