As financial firms are starting to face the first round of enforcement actions from regulators under Regulation Best Interest (Reg BI), it seems that the “grace period” that followed the rule’s implementation date has come to an end.

The Securities and Exchange Commission identified Reg BI as a priority, and firms need to have the right people, processes, and technology in place in order to remain compliant.

Register now for this panel discussion webinar brought to you by NICE Actimize and Bates Group, and learn how to comply with Regulation Best Interest.

PANELISTS:

Rhonda Davis
Managing Director
Bates Group LLC

Jan Folena
Partner
Stradley Ronon (formerly with the SEC)

Anand Maheshwari
Senior Product Manager
NICE Actimize

Ozzie Berrios
Suitability Compliance Regulatory Expert
NICE Actimize