• Detailing requirements of SEC’s Regulation Best Interest to mitigate regulatory risks in areas such as misclassification of legal representative and retail investor
• Determining Reg BI regarding Forms CRS and ADV to ensure conformance to obligations regarding disclosure and distribution of relationship summaries
• Utilizing SEC guidance to analyze case scenarios such as disclosure of “hire me” communications and gain insights on anticipated examinations on BI implementation

Moderator:

Sarah Green
Global Head of Financial Crimes
The Vanguard Group

Presenters:

W. Hardy Callcott
Partner
Sidley Austin LLP

Alison Jimenez
President and Founder
Dynamic Securities Analytics, Inc.

Steven D. Trigili, CAMS
Chief Compliance Officer
Garden State Securities, Inc.