Bates News,Compliance and Regulatory Alerts - 12-19-19

Reg BI Countdown – Is Your Firm Ready?

Last month, we reported on FINRA's announcement that they will be conducting SEC Reg BI readiness assessments to better understand companies' Reg BI implementation preparations. In particular, regulators want to know if: 1) Your firm needs Reg BI guidance; 2) Whether you’re looking at product offerings, suitability, disclosures and conflicts; 3) How far along your firm is in comparison to peer firms; and 4) Whether you can demonstrate that your company has a thoughtful approach and operational procedures in place.

Bates Compliance helps firms achieve Reg BI readiness. Our Reg BI Team is available to advise, guide and implement a selective or full suite of Reg BI services.

Companies have hired us to help them:
  • Create conflicts committees
  • Identify conflicts and control summaries
  • Assess and update WSPs and compliance manuals
  • Draft Form CRS
  • Develop firm-wide employee compliance, management and operations training
  • Create a process for client disclosure documents and recordkeeping
  • Plan ongoing Reg BI consulting support, and more!

Get ahead of the regulators and begin formulating your plan today with Bates Compliance.


Give Bates Compliance a call today to learn about how our Compliance Solutions and Reg BI Readiness Workshops can support your firm’s SEC Reg BI Implementation efforts.


Robert Lavigne, Managing Director - 508.868.6741 or

David Birnbaum, Managing Director - 917.273.2682 or

Rory O'Connor, Director - 860.671.7270 or


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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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