Events | 11-28-22
Webinar: Reg BI Compliance What You Need to Know to Stay Ahead
As financial firms are starting to face the first round of enforcement actions from regulators under Regulation Best Interest (Reg BI), the “grace period” that followed the rule’s implementation data has come to an end.
The SEC has announced that Reg BI will be a high priority for Examinations and Enforcement in 2023, and firms need to have the right people, processes, and technology in place in order to remain compliant.
Join Bates Group and NICE Actimize for our upcoming webinar: “Reg BI Compliance: What You Need to Know to Stay Ahead.” Featuring Rhonda Davis, JD, CAMS, CFE, Managing Director, Bates Compliance; Jan Folena, Partner, Stradley Ronon (formerly with the SEC); Anand Maheshwari, Senior Product Manager, Suitability Surveillance, NICE Actimize; and moderated by Ozzie Berrios, Suitability Compliance Regulatory Expert, NICE Actimize. Register today for this complimentary event.