Webinars and CLE
Bates Group webinars keep you up-to-date on the issues that affect your business. Check this page for upcoming programs.
REG BI - 120 Days On
Date: Wednesday, October 28, 2020
Time: 11:00 AM Pacific / 2:00 PM Eastern
Duration: 45 Minutes
In 2019, the US SEC (Securities and Exchange Commission) passed the Regulation Best Interest (REG BI) rule that bound broker-dealers by law to put the best interest of their clients first.
Reg BI's implementation occurred on June 30, 2020 and 120 days on, Global Relay and Bates Compliance experts will assess the impact on the industry thus far.
Join our webinar to hear expert opinions from our panel of regulatory specialists:
- Donald McElligott, VP Compliance, Global Relay
- Hank Sanchez, Managing Director, Bates Compliance
- Robert Lavigne, Managing Director, Bates Compliance
You will learn:
- What has happened since REG BI came into effect
- How it has impacted the technology side of business
- Common concerns raised by the SEC