Regulation Best Interest (Reg BI) Implementation

SEC Commissioner Hester Peirce has warned broker-dealers
to prepare for a “massive implementation” process for Regulation BI

Or, you could call Oyster Consulting.

 

Our experienced industry practitioners will:

 

Our consultants are broker-dealer experts.

We will help you assess the steps to comply, organize an efficient and effective
implementation process, and execute the requirements in the least disruptive way for your business.

 

What You Need to Know About The 4 Obligations of Reg BI

Watch the videos below to learn about each of the 4 obligations of Regulation Best Interest and how Oyster Consulting can assist your firm in evaluating vulnerabilities, create the proper documentation and ensure you are compliant with the regulation.

Additional Reg BI Resources

Simplicity Maze

 

Read our Reg BI blogs

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.

FEATURED CONSULTANT

Karen Houghton,Senior Consultant

Karen began her career in the branch examination department of a regional broker-dealer, and her role grew to include creation and management of multiple departments, including Complaints...

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