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Reg BI Implementation Deadline!
June 30, 2020
June 30, 2020 is is implementation deadline for Reg BI
Getting help with the process of conflict identification, mitigation and disclosure, as well as updating policies and procedures will provide your firm with an objective view of conflicts and allows your team to continue meeting its regular compliance obligations with limited disruption. Our team of former General Counsels, Chief Compliance Officers, SEC, FINRA and State Regulators team up with our business consultants to create exceptional compliance programs.
Oyster Consulting has the knowledge and experience to support your efforts to comply with these rules. To receive assistance with the preparation of policies and procedures or disclosure documents, or to receive training to ensure you understand the impact of these rules, please give us a call at (804) 965-5400 and we will put you in touch with our experts.