Regulation Best Interest (Reg BI) Services
You’ve done the work…
Are you ready for the regulators?
Oyster Consulting prepares you for the comprehensive regulatory
reviews you can expect now that Reg BI is in place.
We review conflicts and disclosures, and document risks
Oyster tests your compliance program to ensure
We offer customized training and ongoing support
Oyster Solutions software organizes your
compliance program to keep you on track
We provide peace of mind, ensuring your efforts will stand up
under the Reg BI regulatory microscope.
Additional Reg BI Resources
Reg BI Compliance and “Reasonably Available Alternatives” – March 16, 2021
FINRA Expands Scope of Reg BI Reviews in 2021 – March 9, 2021
SEC Says No Delay for Reg BI, Offers Focus Areas for Firms – June 29, 2021
SEC Examinations that Focus on Compliance with Form CRS Requirements – April 16, 2020
Reg BI and Form CRS: Compliance Still Expected by June 30, 2020 – April 2, 2020
Is Your Compensation Structure Ready for Reg BI? – January 8, 2020
FINRA’s Reg BI Conference: What You Need to Know – December 19, 2019
SEC Posts Form CRS FAQs – December 18, 2019
SEC Adopts Reg BI – June 6, 2019
The financial services industry is rapidly changing. Click here or call (804) 965-5400 to find out our current opinion on industry news.