Category Archives: Reg BI

Reg BI
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Managing Client Recommendations in line with Reg BI with GRACE

The SEC’s latest regulation, the Regulation Best Interest (Reg BI) is now in effect with firms having to bring their operations into compliance from June 30, 2020, with SEC examination notices now going out.  In this short article we will focus on the requirements how to manage client recommendations in line with the Reg BI […]...

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Reg BIRegulators
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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, […]...

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Reg BI
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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 […]...

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