
By Ed Wegener
Subscribe to our original industry insightsAs expected, both FINRA and the SEC are conducting comprehensive reviews of firms’ compliance with Regulation Best Interest (“Reg BI”). Reg BI is front-and-center of the 2022 Report on FINRA’s Examination and Risk Monitoring Program, and recently the SEC brought several actions against firms for Form CRS and delivery failures, with fines as high as $97,000.
What should you be doing?
Oyster Consulting’s industry practitioners have the real-world compliance expertise to support your efforts to enhance your firm’s Reg BI policies and procedures. We are well-positioned to complete a thorough, independent assessment of your firm’s Reg BI program and can provide you with a report that includes our recommendations and best practices to comply with Reg BI’s requirements.
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