Bates Compliance Practice Leader Robert “Bob” Lavigne joins Donald McElligott of Global Relay in this virtual forum discussing the history and impact of the Reg BI rule package, new obligations, regulator expectations, Reg BI resources and more.
Bates Compliance Practice Leader Robert “Bob” Lavigne and Dave Ackerman of NICE Actimize discusses your Reg BI obligations, new tools, technology, and process changes to help your firm comply with Regulation Best Interest.
In this one-hour webinar, Bates Compliance Managing Directors David Birnbaum and Linda Shirkey join AI Insights to help you gain an understanding of the SEC’s Regulation Best Interest rule, regulator expectations, product rationalization, and Form CRS. Learn how you can prepare for the June 30 compliance date.
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