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.
Partner with Hardin Compliance
Have a compliance question or want an independent review of your compliance program? Hardin Compliance can help! Call us today at 1.724.935.6770, or visit our website at www.hardincompliance.com for more information.
Hardin Compliance Consulting provides links to other publicly-available legal and compliance websites for your convenience. These links have been selected because we believe they provide valuable information and guidance. The information in this e-newsletter is for general guidance only. It does not constitute the provision of legal advice, tax advice, accounting services, or professional consulting of any kind.