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 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
Read our Reg BI blogs
SEC Adopts Reg BI – June 6, 2019
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