Contact Bates Today

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.

Get My Solution Started

Bates Group Logo

This is a test alert message at the top of the Bates website - Action Link

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.

Date: Friday, December 9, 2022

Time: 1 p.m. ET/10 a.m. PT.

Webinar Details and Registration

Contact Bates Group

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.