Webcast: Reg BI and Form CRS—Good Faith Implementation and Compliance Considerations

Webcast: Reg BI and Form CRS—Good Faith Implementation and Compliance Considerations

Speaking Engagement

On June 5, 2019, the US Securities and Exchange Commission published a series of rulemakings and interpretations. The package included Regulation Best Interest (Reg BI), the new standard of conduct for broker-dealers serving retail customers, and the Form CRS Relationship Summary, a new form that brokers and advisers must provide to investors. This program will provide an overview of each rule, implementation considerations, and best practices on Reg BI and Form CRS, which required compliance by June 30, 2020. The program will also cover related efforts by states on regulating recommendations to customers. The program will be useful for any practitioner responsible for providing legal or compliance advice to broker-dealers or investment advisers. An inventory of reference materials will also be made available to supplement the discussion on the new standards. Each panel will cover key aspects of the designated topic examining with details provided below:

  • Highlights of the relevant rule
  • Special considerations and challenges
  • Best practices for compliance

Partner Susan Schroeder will participate as a panelist in the webcast, which is hosted by the New York City Bar Association. 

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