Events - 01-10-20

Bob Lavigne to Speak at the SIFMA Regulation Best Interest Vendor Forum

Bates Compliance Managing Director Robert "Bob" Lavigne will be a featured speaker at the SIFMA Regulation Best Interest Vendor Forum, January 16, 2020, at the SIFMA Conference Center in New York, NY. Bob will be speaking on the topic of “Documentation of Best Interest and Supervision.”

Bates Compliance, the compliance consulting division of Bates Group LLC, is a proud Gold Sponsor of the SIFMA Regulation Best Interest Vendor Forum. This half-day session will provide attendees an overview of the implementation considerations, and the opportunity to interact with Bates Compliance and other consultants who are developing the products, tools and services to help firms with implementing and complying with the SEC's Reg BI and Form CRS.

Bates Compliance consultants helps firms implement the SEC's Reg BI. We help you navigate disclosure obligations, duty of care obligations and conflicts of interest obligations. We also assist firms with:

  • Developing the new Reg BI Client Relationship Summary (“CRS”) for retail investors;
  • Impact and readiness assessments;
  • Conflicts of interest inventory;
  • Conflicts of interest assessment;
  • Product shelf reviews;
  • New product approval processes;
  • Drafting new policies and procedures;
  • Data capture and recordkeeping; and
  • Special IA and BD compliance considerations.

Visit the Bates booth to meet Bob and learn more about Reg BI solutions from Bates Compliance.

 

About Bates Compliance

The Bates Compliance team of experienced compliance professionals provides comprehensive compliance consulting services for BD and RIA clients on an as-needed or ongoing basis.  Bates assists with supervision, compliance, risk assessments, WSPs, annual compliance reviews, mock exams, regulatory remediation and internal audits. We review and test firms’ programs, policies and procedures, recommending changes based on regulatory requirements and leading practices designed to supplement and enhance compliance and supervisory systems.

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Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

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