ON DEMAND: Rising to Compliance Challenges of Reg BI

“Compliance IS NOT a choice; it is the responsibility to uphold the TRUST of stakeholders and MAINTAIN the integrity of the financial system.”

Now…the origin of this quote is listed as “unknown” BUT I think all of us know where it came from…a REGULATOR.

While sometimes cumbersome, sometimes overly vague and other times clearly over-reaching, industry regulators and compliance guidelines are intended to mostly do two things: a) protect the best interests of compliance and b) maintain the industry’s reputation by keeping us out of trouble.

One of the biggest regulatory changes seen in recent decades is the Regulation Best Interest rule, effective June 30, 2020.

Watch as industry experts, Jim Sommerfield, Mitch Atkins and Parham Nasseri joined Docupace and host Ryan George for a conversation on the do’s and don’ts of Reg BI.

Click below to view the webinar recording.