SIFMA C&L Virtual Forum
For more than half a century, SIFMA’s Compliance & Legal Annual Seminar has been the preeminent meeting place for compliance…
Regulation Best Interest Vendor Forum
Overview
Join SIFMA at 12:15PM on Thursday, January 16 for a half-day session on products, tools and services available to assist with implementing and complying with Reg BI and Form CRS.
Please note: In-person registration is now closed. If you would like to register for the webinar, please contact SIFMA Conferences.
By June 30, 2020, registered broker-dealers must comply with Regulation Best Interest; and broker-dealers and investment advisers registered with the SEC must prepare, file, and deliver to retail investors, a new customer relationship summary (Form CRS). To complement SIFMA’s Reg BI Implementation Guide, this event will provide attendees an overview of the implementation considerations, and the opportunity to interact with vendors and consultants who are developing the products, tools and services to help firms with implementation and ongoing compliance.
Regulation Best Interest Vendor Forum
Registration Closed
Overview
Join SIFMA at 12:15PM on Thursday, January 16 for a half-day session on products, tools and services available to assist with implementing and complying with Reg BI and Form CRS.
Please note: In-person registration is now closed. If you would like to register for the webinar, please contact SIFMA Conferences.
By June 30, 2020, registered broker-dealers must comply with Regulation Best Interest; and broker-dealers and investment advisers registered with the SEC must prepare, file, and deliver to retail investors, a new customer relationship summary (Form CRS). To complement SIFMA’s Reg BI Implementation Guide, this event will provide attendees an overview of the implementation considerations, and the opportunity to interact with vendors and consultants who are developing the products, tools and services to help firms with implementation and ongoing compliance.
Register
| Registration Rates | $49 |
|---|
| Registration Rates | $149 |
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| Member | Non-Member | |
|---|---|---|
| Registration Rates | $49 | $149 |
Program
12:00pm – 6:00pm
Registration Hours
12:00pm – 1:10pm
Networking Lunch
1:10pm – 1:15pm
Participants
Jillian Enoch
Speaker
1:15pm – 2:15pm
This panel will discuss the new Reg BI rule package and its impact on broker-dealer businesses. Panelists will explore program governance, different strategies to comply and…
This panel will discuss the new Reg BI rule package and its impact on broker-dealer businesses. Panelists will explore program governance, different strategies to comply and how to help firms navigate the rule’s requirements.
Participants
Jason P. Kelly, Maria R. Gattuso, Rex Gooch, Bharat Sawhney
Moderator
Panelists
2:15pm – 2:45pm
Networking Break
2:45pm – 3:45pm
This panel will explore various approaches to compliance with Reg BI, including how to comply with the Care Obligation, considerations for interacting with and onboarding new…
This panel will explore various approaches to compliance with Reg BI, including how to comply with the Care Obligation, considerations for interacting with and onboarding new clients, and how to design and deliver Form CRS.
Participants
Kurt Johansen, Aladin Abughazaleh, Christopher Fernandes, Jean Reilly, Hamish Wynn
Moderator
Panelists
3:45pm – 5:00pm
This panel will discuss how firms may tackle documenting that recommendations are made in a client’s best interest, including new tools, training programs, process changes, and…
This panel will discuss how firms may tackle documenting that recommendations are made in a client’s best interest, including new tools, training programs, process changes, and more. Panelists will also discuss how to detect violations and what supervisory and surveillance changes may be needed.
Participants
Lee Thoresen, David T. Ackerman, Robert Lavigne, Allen Meyer, Joshua Uhl
Moderator
Panelists
5:00pm – 6:00pm
Networking Reception
Terms and Conditions
Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.
Substitutions
Conference registration substitutions are welcome. Email SIFMA Conferences with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.
Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.