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Reg BI Compliance Guide

FSI Reg BI Compliance Guide Ready for Purchase!

We know that complying with the new SEC Regulation Best Interest will be a challenge – a challenge that will benefit investors and a challenge that must be met by June of 2020.

In order for our members to meet that challenge, we partnered with Eversheds Sutherland to create a Reg BI Compliance Guide. The Guide will help you develop your firm’s unique approach to compliance by focusing on:

  • The care obligation;
  • Conflict of interest, disclosure and compliance obligations;
  • Training;
  • Recordkeeping;
  • Liability;
  • And much more

CLICK HERE to view the Guide’s Table of Contents.

CLICK HERE to view the order form.