Tag Archive for: Reg BI

Join Mitch Atkins on a Regulation Best Interest Panel

/by

Regulation Best Interest has challenged member firm compliance and sales staff over the two years since implementation. Recently, the SEC filed its first enforcement action involving alleged violations of Regulation Best Interest. Effective compliance is more important today than ever before. More and more firms are turning to technology solutions to help with compliance in this area. Hear from a panel of experts about how to best prepare.

Following years of preparation, the new DOL PTE 2020-02 requirements are now fully in effect. The panel will discuss elements of both relatively new requirements and how firms can achieve compliance in today’s environment.

Mitchell Atkins will be joining a distinguished panel of experts on August 4, 2022 to discuss Regulation Best Interest compliance. Panelists include:

  • Craig Watanabe, Director of IA Compliance at DFPG Investments, LLC
  • David Porteous, Partner, Faegre Drinker
  • Joshua J. Waldbeser, Partner, Faegre Drinker
  • Parham Nasseri, Vice President Regulatory Strategy, InvestorCOM

Topics to be discussed include the new DOL PTE 2020-02, Regulation Best Interest, rollover recommendations, preparing for an examination, and risks associated with a manual approach to compliance.

Today, more than ever, compliance has become complicated and resources are stretched. Reg BI and the DOL PTE 2020-02 have contributed to the challenges for many firms. Compliance solutions are becoming more creative, and technology solutions are more widely used than ever before. Learn about the challenges facing the industry in complying with Regulation Best Interest and creative solutions being used by compliance staff around the country. 2022 and 2023 will bring more arbitration and enforcement matters in these key areas and being at the forefront of compliance is critically important. Please join us for this webinar hosted by InvestorCOM, a leading provider of compliance technology for Regulation Best Interest and DOL PTE 2020-02 compliance. The webinar is August 4, 2022 at 1pm.

Register now for this free webinar here.