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Jun 25, 2019 31 min

A Deep Dive Into Reg BI

from The RIA Compliance Collective Hosted by Collin O'Bryant, Megan Campbell, and Ivan Barretto

Intro Topic I – Overview Of The New Regulation Best Interest Topic II – Best Interest Obligation and Key Areas of Obligation Topic III – Books and Records Requirements Topic IV – Next Steps To Remain in Compliance Outro Guest Speaker Information: Mary Ellen Storey, Vice President Cerulean Securities Compliance Mary Ellen’s Linkedin: https://loom.ly/UBKmzDE Company Website: https://loom.ly/BoOjuZg Phone: (816) 858-7880 Company LinkedIn: https://loom.ly/sOV7X14 Company Twitter: https://loom.ly/utsslWk Other informative links: Form CRS Relationship Summary; Amendments to Form ADV https://loom.ly/0epzpSY Regulation Best Interest: The Broker-Dealer Standard of Conduct https://loom.ly/ykOUOS0

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A Deep Dive Into Reg BI

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This episode was published on June 25, 2019.

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