Investment Operations

Webinar: Reg BI – How Firms are Managing Ops Changes

Failed Trades Management

The SEC’s Regulation Best Interest (Reg BI) and Form CRS is one of the largest regulatory changes to the retail brokerage industry in decades, changing the way financial advisors interact with clients and driving firms to change business strategy, operations, systems, and processes.

On Wednesday, June 3 at 1:00 – 2:00 p.m. EDT, this panel of experts will discuss the upcoming compliance deadline, and on-going compliance well beyond June 2020, in addition to:

  • Key operational challenges
  • How firms are managing the changes
  • The impact on retail investors

Note: This SIFMA Webinar is part of an Ops Series called What Operations Professionals Need to Know – register for this one or for all 3 Ops webinars.

For more information, click here.