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Unpacking and Implementing Reg BI and Form CRS

October 16, 2019
10:30 AM - 12:30 PM PDT
View On-Demand

Course Description:

While the compliance date for Reg BI and Form CRS is June 30, 2020, your planning and budgeting processes need to be cornerstones of your 2020 compliance program. To do this, you need to be able to apply the foundational concepts and organizational minutia of the almost 1,300 pages of the adopting releases to your firm’s business practices now. This session will take a deep dive into the adopting releases, identifying unresolved issues and unintended consequences, and providing practical steps to identify the infrastructure, procedures and training you will need to be in compliance with Reg BI and Form CRS.

After attending this course you will be able to:

  • Develop an effective plan for implementing Reg BI and Form CRS
  • Effectively communicate the coming changes to senior management and staff
  • Analyze which parts of Reg BI and Form CRS do and do not apply to your specific business practices

For Whom: Designed to increase the professional competence of investment adviser professionals with legal, compliance, technology and management responsibilities

Suggested Skill Level: Basic

Instructional Method: Group – Internet Based and Group Live

Pre-requisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the SEC’s recently adopted Rules related to Regulation Best Interest, Form CRS Relationship Summary and Form ADV Amendments become familiar with subject and terms.

Advance Preparation: None

Continuing Education Guide
Recommended IACCP® CE Credit: 2