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. Watch our on-demand webinar for what you need to know to stay ahead.