Urgent: What the SEC releases require you to do ahead of RegBI

July 11, 2019 – 1PM EDT: Complimentary NRS Webinar

By completing and submitting this registration form, you will be enrolled in NRS’ Complimentary 30 minute webinar. This webinar explains how the SEC’s two new interpretive releases, which go into effect upon publication in the Federal Register, may require immediate changes in your compliance program.

Investment Advisers: You need to know now if the new releases require you to:

  • Review and revise your disclosures
  • Create or amend procedures for obtaining a retail client’s “informed consent” to those disclosures
  • Identify when your firm must recommend services that your firm does not provide
  • Documenting the obligation to monitor client accounts

Broker-Dealers: You need to know now if the new releases require you to:

  • Provide ongoing monitoring to certain types of brokerage accounts
  • Understand how “limited discretion” may or may not be used by a broker-dealer
  • Draft or amend written supervisory procedures
  • Re-assess whether your advertisements could inadvertently suggest that you are providing advisory services

You do not have until next June to address this. Unlike Reg BI and Form CRS, these interpretive releases will become effective any day.

Your examiners will be aware of, and trained to look for the requirements these new releases will bring. Be sure your compliance program is ready. Complete and submit your registration form today!

Register Here:

    NRS* may email you to keep you up-to-date with what is happening, including industry insights, upcoming events and our product capabilities. We will let you select what emails you receive and change your preferences at any time.

    If you do not wish to receive these emails tick the box to opt-out

    *NRS is a tradename of Compliance Science. By registering your details, you understand that your personal data will be handled according to our Privacy Policy.