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Practical Thought Leadership – Form CRS and Reg BI are Here: Now What?

Hardin is pleased to share this recent contribution to the National Society of Compliance Professionals (NSCP) Currents: Form CRS and Reg BI are Here: Now What?“, by Senior Compliance Consultant, Doug MacKinnon.  Click here for a reprint of the article.

In the wake of the initial implementation, this article offers practical and comprehensive advice to broker-dealers and registered investment advisers on important next steps regarding Form CRS and Regulation Best Interest.  Doug’s tips and questions help firms evaluate their implementations and fill in any gaps.  The topic is especially timely given the upcoming SEC/FINRA roundtable, where the regulators plan to share their initial observations on Form CRS and Reg BI with the public.  

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