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Broker-dealers have been subject to a lot of fee pressure both from the market and regulatory changes. The new Security and Exchange Commission’s Regulation Best Interest (Reg BI) requirements have the entire industry abuzz and are another advisor requirement that must be met. Advisors and their firms have until June 30, 2020, to comply with the Reg BI rule, which requires them to put their clients’ interests ahead of their own and mitigate any potential conflicts of interest.
The administrative requirements and technology resources needed to address Reg BI are compelling, especially with a fast approaching deadline.
In this article for Financial Advisor, Broadridge's Tim Slavin uncovers insights and opportunities to ensure Reg BI Readiness for Form CRS and Standard of Care requirements.
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Broadridge is a global technology leader with trusted expertise and transformative technology, helping our clients and the financial services industry operate, innovate, and grow. We power investing, governance, and communications for our clients – driving operational resilience, elevating business performance, and transforming investor experiences.
