Regulation Best Interest Readiness Survey
The June 30, 2020 compliance date for Regulation Best Interest (“Reg BI”) and Form CRS is fast approaching. Both the SEC and FINRA have stated they will conduct examinations after the compliance date that will focus on whether a Firm has made a “good faith” effort to comply with these regulations.
Is your firm ready?
We invite you to complete a short survey to provide insight and transparency into the various ways firms are preparing for Reg BI and Form CRS.
Questions
If you have any questions about the survey, or about compliance with Reg BI or Form CRS, please contact Dee Stafford.
Resources
ACA’s Broker-Dealer practice assists our clients with navigating the SEC’s Regulation Best Interest (Reg BI) through educational resources and alerts, program reviews, assistance designing and implementing a customized action plan to meet Reg BI’s requirements, and more. Visit our Reg BI Resources page to find out how ACA can help you comply by June 30, 2020.
Related insights
ACA/NSCP 2024 AI Benchmarking Survey Results
To help firms better understand and manage AI risks, ACA and the NSCP partnered to explore how financial firms are utilizing AI and what controls they are putting in place to manage risks inherent in the new technology.
- Compliance
- Artificial Intelligence (AI)
Financial Services Firms Lag in AI Governance and Compliance Readiness, Survey Reveals
The 2024 AI Benchmarking Survey by ACA Aponix and NSCP reveals that, despite enthusiasm for AI, financial firms lack formal AI governance frameworks, testing protocols, and third-party oversight.
- ACA News
- Artificial Intelligence (AI)
- Compliance
Mastering Employee Compliance: Key Strategies for CCOs
Key strategies can help you effectively manage employee compliance, foster a culture of adherence, and support the organization's overall success.
- Compliance
- ComplianceAlpha