Bates News, Events | 08-14-19
Jill Ehret to Speak on Reg BI Panel August 14, 2019 in Los Angeles
Bates Group’s Compliance Director Jill Ehret will be speaking at the 2nd Annual FI Summit on Wednesday, August 14th at the LA Galaxy Stadium. Bates is a proud co-sponsor of this year's event.
Along with her fellow panelists, Jill will be discussing the groundbreaking Regulation Best Interest Rule and its anticipated impact upon broker-dealers, registered representatives, registered investment advisers, and investment adviser representatives. CE and CLE credits will be available for the 3-panel program. A cocktail reception will immediately follow the summit.
Bates Group brings tailored compliance consulting services and solutions to financial services clients on an as-needed or ongoing basis. We offer a suite of Reg BI services and powerful solutions to help your company navigate Reg BI implementation and achieve compliance.