Navigating Regulatory Exams in the Age of Best Interest
I am 
thrilled to invite you to the Navigating Regulatory Exams in the Age of Best Interest webinar, hosted by InvestorCOM on October 17 at 1 PM ET. I’ll be joining a distinguished panel of industry experts who will provide insights into how technology is transforming compliance practices.
Mitchell Atkins will be joining a distinguished panel of experts on October 17, 2024 to discuss Regulation Best Interest compliance. Panelists include:
- George Sarlanis, Head of Supervision, Snoden Lane Partners
- Ed Wegener, Managing Director, Oyster Consulting, LLC
- Randy Barnes, Director of Product & Sales Engineering, InvestorCOM
- Parham Nasseri, President, InvestorCOM
During the webinar, we’ll discuss the increasing regulatory scrutiny in wealth management and how firms can embrace digital compliance to meet best interest standards. Topics will include transitioning from traditional methods to fully digitized compliance solutions, preparing for regulatory exams, and achieving long-term efficiency.
This event is particularly timely given the challenges broker-dealers face in complying with Regulation Best Interest (Reg BI). Many firms struggle with aligning their traditional compliance practices with new standards, particularly around the Care Obligation and ensuring that their recommendations are in the client’s best interest. The complexity of navigating this new environment, especially as regulatory exams now require more than just a “good-faith” effort, has created additional pressure on broker-dealers. Firms must not only demonstrate they are adhering to these principles but also prove their systems and procedures are robust enough to mitigate conflicts of interest.
I’ll be sharing my perspective based on over 30 years in the securities industry, highlighting practical strategies for modernizing compliance while reducing risk. If you are in compliance, legal, or operations roles at a wealth advisory firm, you won’t want to miss this opportunity to gain valuable insights from leading experts.
Register now to reserve your spot and ensure your firm is prepared to navigate the evolving regulatory landscape. Visit InvestorCOM’s event page for more information.
