Who Should Watch
Chief Compliance Officers – Compliance and Internal Audit
Legal Counsel, General Counsel and Attorneys
Compliance and Market Conduct VPs, Directors, and Managers
Compliance, Market Conduct and Legal Staff
Audit and Risk Management Managers and Staff
The Regulation Best Interest (Reg BI) implementation date of June 30, 2020 is quickly approaching. Are you ready?
Join Skip Edmonds, Head of Compliance and Regulatory Practice at LL Global for a conversation with Jon Polise, Associate Director, Broker-Dealer and Exchange Oversight from the SEC, and James Clements, Vice President and Chief Compliance Officer from Ameritas.
We’ll be looking at Reg BI from regulatory and industry angles, and talking about the things that matter to you, to help you better position your firm, even in the midst of these uncertain times.
Invite your entire team and use these sessions as a springboard for discussion in your next team or senior leadership meeting.