The Four Core Components of Regulation Best Interest

Will you be ready to comply with Regulation Best Interest on June 30, 2020? The new rules and interpretations outline requirements instructing broker-dealers and investment advisors to not put their own financial interests ahead of the best interests of retail customers when making recommendations and to address conflicts of interest.

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An Overview of Regulation Best Interest

On June 5, 2019, the SEC announced new rules and interpretations clarifying required standards of conduct for broker-dealers and investment advisers when advising retail customers. Firms must be ready to comply with Regulation Best Interest and Form CRS by June 30, 2020.

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DOJ's New Guidance Centers on Three Important Questions

The DOJ has served notice it will require clear answers to these three questions during future misconduct investigations. Your answers must demonstrate your organizations compliance program is having a definite impact. In other words, the DOJ expects results. 

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2018 Compliance Roundup - The Nice List


“He’s making a list, checking it twice. . .”

We believe it is a great time of year to recognize fellow professionals for their outstanding contributions to the field of compliance and risk in 2018.

Yesterday, we looked at some of the biggest fines of the year, or "The Naughty List". Today we look at some of the more positive events of the year, "The Nice List".

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2018 Compliance Roundup - The Naughty List

 “He’s making a list and checking it twice. . .”

As part of our end of year wrap up, we present to you The Naughty List. The definitive list of individuals and corporations who will be receiving a bag of coal this year.

Be sure to check in tomorrow, when we post The Nice List. Subscribe to stay notified.

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