On April 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued two Risk Alerts: one focused on examinations of compliance with Regulation Best Interest [1] (“Regulation BI ...
A new FINRA analysis finds that the first full year of Reg BI and Form CRS compliance was rife with instances of poorly written supervisory procedures, inadequate staff training and conflict of ...
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