In today’s our experts discuss an area where FINRA spends a lot of resources – Communications and Sales.  We’ll look at challenges our clients are facing and best practices when it comes to:

·       Communications with the Public and Advertising

·       Reg BI and its focus on the Care Obligation

·       Complex Products, from variable annuities to private placements

CRC-Oyster: Compliance Risk Concepts / Oyster Consulting