Events | 06-06-23
Bates Compliance’s Rhonda Davis to speak on “Evidencing Best Interest” at NICE Actimize Engage - June 6, 2023 in NYC
Bates Compliance Managing Director Rhonda Davis, JD, CAMS, CFE, will be speaking at the NICE Actimize Engage conference, taking place June 6-7, 2023 in New York City. Ms. Davis will appear in the session "Suitability Regulation: Evidencing 'Best Interest' and 'Consumer Duty'” Tuesday, June 6th at 1:30 p.m. ET.
With regulators increasing their focus on retail investor protections, firms need to ensure they have the right systems and programs in place to monitor for client abuse and poor sales practices. We’ll look at a number of regulations, such as Regulations Best Interest, and Consumer Duty, and we’ll share what you need to stay ahead.
Bates supports firms navigating compliance with SEC rules. Our compliance team includes senior compliance staff and former regulators with expertise in the development of policies, procedures, supervisory and compliance processes, and best practices to enhance compliance and supervisory systems.