Events - 02-05-20
Bates Managing Director Linda Shirkey To Facilitate Reg BI Compliance Workshop in Austin, TX
Bates Managing Director Linda Shirkey will be serving as a facilitator at a Regulation Best Interest (Reg BI) Compliance Workshop for FINRA-registered broker-dealers, SEC-registered investment advisers, and dual registrants on Tuesday, February 11, 2020, from 2:30 – 5 p.m. at the UT McCombs School of Business’ Center for Enterprise and Policy Analytics in Austin, Texas. The workshop will open with an overview of Form CRS content and distribution requirements, followed by small-group working sessions to help each attendee draft their own Form CRS. The workshop will be interactive, drawing on insights and best practices shared by the facilitators and by attendees, with the facilitators also hosting conversations about the identification, mitigation and disclosure of conflicts of interest within the framework of Regulation BI.
This two-day conference brings together current and former government officials, industry experts, and academic researchers to engage in a series of dialogues on how Reg BI will impact securities brokers and registered investment advisors.