Reg BI Webinars

Listen to our complimentary Reg BI Webinars and get the advice you need to tackle Reg BI with confidence.

 

Understanding Regulation Best Interest

Recorded: Thursday, March 12, 2020 (1 hr.)
Presented by: Global Relay

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.

Click here to watch the on-demand playback of "Understanding Reg BI."

 

Countdown to Reg BI: Strategies to Ensure Compliance

Recorded: Wednesday, March 4, 2020 (1 hr.)
Presented by: Bates Compliance and NICE Actimize

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.

Click here to watch the on-demand playback of "Countdown to Reg BI: Strategies to Ensure Compliance."

 

Understanding Reg BI

Recorded: Thursday, February 27, 2020 (1 hr.)
Presented by: Bates Compliance and AI Insights

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.

Click here to watch the on-demand playback of "Understanding Reg BI."

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.

Contact Bates Group

The Experts Of Bates Group Are Here To Help

Bates Group’s consulting and testifying experts have diverse backgrounds resulting in a wide variety of expertise. With all that diversity, they have one thing in common – they are all outstanding practitioners in their fields.

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