Top Tweets for #REGBI
Opinion: Thompson Hine's Brian Lanciault says broker-dealers can protect themselves by assessing whether their recommendations are considering their clients' needs and goals holistically. https://t.co/7HIxofx0qz
This week's Public Policy Spotlight included ADISA's response to @NASAA's proposed amendments to their model rule. #RegBI #FormCRS #alternatives https://t.co/Vhil5QngL4
DOL final rule broadens 'investment advice fiduciary.' The expansion aims to ensure more financial advisors act in the ‘best interest’ of #retirement investors (and aligns to SEC #RegBI). Check out the latest in our #KPMGRegulatoryAlert #KPMG https://t.co/w7Wamq9wfj
Years after the SEC enacted Regulation Best Interest, a huge but murky conflict of interest persists. #RegBI #revenuesharing #wealthmanagement
https://t.co/ZKgNOJPN1L
New Hampshire joins 42 other states with a #BestInterest annuity rule that enhances protections for consumers seeking guaranteed lifetime income.
These measures align with the @NAIC’s annuity transactions model & @SECGov's #RegBI. @NHInsuranceDept @NAIFA https://t.co/vCUI3qk9rI
Regulation Best Interest will continue to be a “priority area” for #FINRA this year, according to the broker-dealer self-regulator’s enforcement chief, Bill St. Louis.
#RegBI #RegulationBestInterest #Compliance #ComplianceNews
https://t.co/dtf26hFmNX
"At some point, they're going to stop giving you a detailed how-to list and start bringing enforcement actions."
Is #RegBI enforcement (finally) coming?
@MarkSchoeff tackles that question in his piece for the Jan. '24 print edition of @investmentnews👉https://t.co/hGamnH5zYf
.@USDOL #fiduciary proposal starts where #RegBI stops' https://t.co/wjxACizQ9Z @IRIonline @SIFMA @MicahHauptman
How advice standards have converged 3 years into Reg BI: While the SEC is working to put teeth into Reg BI, questions remain about how it’s working in practice https://t.co/bfrNUp2afj #InvestmentNews @MarkSchoeff @SECGov #RegBI
Industry leaders converged at the @FINRA conference recently to discuss the latest developments in the #financialservices industry. In this blog we highlight some key takeaways from the event. https://t.co/iOLhYH7yr5
#regtech #AI #regbi #cybersecurity #compliance
Makron, barda mərc edib içki içən əyyaşlar kimisən... Tuluza klubunun reqbidə qələbəsini qeyd edən @EmmanuelMacron pivə içərkən kameralara düşüb #macron #France #Toulouse #regbi
.@FINRA is planning to complete at least 1,000 #RegulationBestInterest exams of broker dealers this year. If your firm is still taking a wait and see approach to ensuring you have the tools in place to comply, you may want to re-consider.
https://t.co/Kvd4nxbr51
#RegBI
.@FINRA is planning to complete at least 1,000 #RegulationBestInterest exams of broker dealers this year. If your firm is still taking a wait and see approach to ensuring you have the tools in place to comply, you may want to re-consider. https://t.co/2VqxYVo88A
#RegBI
A failure to properly fill out or distribute Form CRS led to 5 firms being fined a total of $185K: #FINRA. #Compliance officers, please make sure all the forms are completed correctly. For more: https://t.co/PavUiQzYt1 #Elinphant #Elinphantbit #Softek #softekbit #regbi #Fines
Failing to properly fill out or distribute Form CRS led fines totalling $185K being paid by 5 firms: #FINRA. #Compliance officers, please make sure all the proper forms are completed. For more: https://t.co/oHcwTrBGNY #Elinphant #Elinphantbit #Softek #softekbit #regbi #Fines
Failing to properly fill out or distribute Form CRS led to 5 firms being fined a total of $185K: #FINRA. #Compliance officers, please make sure all the proper forms are completed. For more: https://t.co/ZzBV34833e #Elinphant #Elinphantbit #Softek #softekbit #regbi #Fines #FormCRS
In this week's Product Pulse, Randy Barnes provides some highlights from last week's @SECGov Staff Bulletin "Standards of Conduct for Broker-Dealers and Investment Advisers Care Obligations".
#bestinterest #RegBI
The SEC proposed the following disclosure during the FPA v. SEC case. SEC lost, disclosure proposal dropped. If SEC was sincere about #RegBI, about putting investors' best interests first and disclosing conflicts of interest, why not require this simple disclosure?
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