Reg BI Case Studies: Assessing Reasonably Available Alternatives

FINRA and the SEC have underscored their focus on firms’ adherence to Regulation Best Interest (Reg BI), with an emphasis on the care obligation that requires firms to evaluate reasonably available alternatives (RAA). Facing more intense scrutiny than ever before, firms must evaluate their compliance processes when it comes to the care obligation.

Join InvestorCOM for an enlightening discussion that delves into real-world applications of RAA under the care obligation of Reg BI. This essential session features industry veterans Ed Wegener, Managing Director and Head of Governance, Risk and Compliance Practice at Oyster Consulting LLC, and Dawn Thomason, Chief Compliance Officer at USA Financial. Together, they will dissect the care obligation, focusing on RAA, through the lens of actual case studies, providing a tangible understanding of regulatory expectations and compliance intricacies.

During the webinar, attendees can expect to:
- Gain insights from concrete examples of RAA’s implementation and its impact on advising practices.
- Evaluate the best processes to align with the Reg BI care obligation.
- Learn how innovative technology can facilitate the evaluation of reasonably available alternatives.
- Don’t miss this opportunity to elevate your understanding of Reg BI’s care obligation through the experiences and expertise of Ed Wegener and Dawn Thomason.

Learn more about InvestorCOM at www.investorcom.com/demo.