Category Archives: Reg BI

Reg BIRegulators
Blank Image

Policy, Written Supervisory Procedures (WSPs), Attestation and Training under Regulation Best Interest with GRACE

The SEC’s latest regulation, the Regulation Best Interest is now in effect with firms having to bring their operations into compliance from June 30, 2020. SEC examination notices are now going out – there is an expectation that firms have updated their policies, procedures, and made their staff aware of the obligations regarding conflict disclosures, […]...

Published On - July 14, 2020

admin Reg BI, Regulators
Reg BI
Blank Image

GRACE enables Product Governance under Regulation Best Interest

OVERVIEW The SEC’s latest regulation, the Regulation Best Interest is now in effect with firms having to bring their operations into compliance from June 30, 2020.  We know firms have worked hard to put in place solutions for the most visible requirement, the distribution of the Form CRS; the Regulation Best Interest is about more […]...

Published On - July 7, 2020

admin Reg BITags: , ,
Reg BI
Blank Image

Regulation Best Interest Day 2 and Beyond

It is finally here – June 30th is compliance day for Form CRS and Regulation Best Interest – day one!  Firms have been working hard to put in place their day one solutions and distribute their Form CRS documents to investors, by mail, and electronically via client portals.  Of course, the SEC’s latest regulation, the […]...

Published On - June 29, 2020

admin Reg BI