Compliance Consult
Evaluating Reg BI Compliance
Five takeaways from an OCIE Risk Alert.
Reported by David Kaleda
To access this premium content, please sign up for a free account!
You Might Also Like:
SEC’s 2025 Exam Priorities Include Fiduciary Conduct, AI Use
The regulator also listed compliance procedures and Regulation Best Interest in its list of priorities published Monday.
Advisers Compliant with Reg BI are Compliant with Fiduciary Rule, EBSA Says
Ali Khawar added that insurance agents should be knowledgeable of the assets a client is giving up to buy an...
FINRA’s Top Enforcement Issues of 2023
Regulation Best Interest makes the top five, according to Eversheds Sutherland LLP.