Reg BI Essentials Training
Fi360’s Regulation Best Interest Training is a customizable, two-part training solution for home office personnel and their advisors to understand, apply and reliably comply with the Reg BI regulatory package. Training programs focus on the practical application of the regulatory requirements, tailor-fit to how the firm intends to approach compliance that is best for their business model.
HOME OFFICE TRAINING
Option 1 involves Fi360 guiding broker-dealer home office personnel on the substance of the rule and to make decisions on how the firm will comply with the rule.
ADVISOR/FIELD TRAINING
Option 2 will instruct those field representatives and advisors on the requirements established by their home office to comply with Reg BI.
BENEFITS TO YOU
- Gain insights and perspectives on home office Reg BI compliance strategy and decision points to help build out your implementation plan with confidence.
- Reduce compliance training development time by leveraging our Reg BI content library and course development experience.
- Offer a cost-efficient, firm-level solution in order to meet the fast approaching Reg BI compliance deadline.
COURSE LEARNING OBJECTIVES
Organizations will be able to:
- Understand the substances of the SEC Regulation Best Interest Rules Package
- Recognize the decision-points regarding its own compliance with the rules package
- Implement a sustainable, repeatable compliance program for its representatives and advisors
Representatives of an investment advisor or a broker-dealer will be able to:
- Understand how the rules package applies to the recommendations they make and the types of compensation they receive
- Follow the defined policies and procedures of their home office for rule compliance
- Recognize actions that would be outside of their intended scope of engagement and could potentially make them subject to higher standards of care or additional liability
Let’s get started!
Fill out the form and a member of the Fi360 team will be in touch.
