CEFLI Webinar – SEC Regulation Best Interest Implementation
April 22, 2020
Additional Materials Referenced in Webinar:
SEC Regulation Best Interest:
SEC Form CRS:
During the webinar, CEFLI Affiliate Member Faegre Drinker will offer a brief overview of the requirements of SEC Regulation Best Interest, followed by a sharing of current perspectives related to potential implementation challenges and common questions associated with firms’ efforts to identify and implement timely and appropriate compliance solutions by the regulation’s June 30, 2020 effective date.
This webinar is available to CEFLI member companies and free access is available to all employees! We encourage you to invite others in your company who may have an interest in learning more about this topic.
Suggested attendees for this webinar include:
• Compliance and ethics professionals.
• Individuals working on disclosures, forms, and review processes related to SEC Regulation Best Interest compliance.
• Staff involved with the oversight and supervision of company practices associated with SEC Regulation Best Interest.