Regulation Best Interest:
6 Must-Haves for Compliance
Regulation Best Interest goes beyond existing suitability regulations to raise the standard of conduct for U.S. broker-dealers. Your firm will have to monitor all broker-dealer communications through the lens of Reg BI. This will place an enormous compliance burden on your firm that will be difficult to overcome with manual processes and disjointed technologies.
Download this complimentary eBook to learn about your firm’s key obligations under Reg BI, why complying with Reg BI using existing technology won’t be easy, and 6 must-haves to look for in a Reg BI solution.