Regulation Best Interest

Clayton mentioned upcoming OCIE risk alerts related to examining for these new regulatory responsibilities

We believe that the June 30, 2020 compliance date for Reg BI and other requirements, including the requirement to file and begin delivering Form CRS, ...

Has your CCO changed in the last year?

Eight new FAQs cover six core areas

Adjusting or building upon current systems of supervision/compliance an option

These SEC FAQs can help you prepare for Reg BI

Reg BI arrives June 30: “The court knows what the timeline is. It’s up to the court”

Driscoll: The risk alert will be designed to “help firms prepare for potential exams”

Questions that could be asked on exams included

Regulators were emphatic: there will be no delay in Reg BI