Reg BI Exams: Reasonably Available Alternatives and Record Keeping

InvestorCOM Inc. – With Reg BI examinations and enforcement actions expected to increase in 2021, firms are looking to meet the Care Obligation’s requirement of assessing “reasonably available alternatives”. Experts from Oyster Consulting and Faegre Drinker discuss a consistent and repeatable process for assessing costs and a reasonable range of alternatives at the time of a recommendation.

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