Oyster Stew - A Broth of Financial Services Commentary and Insights

Reg BI - FINRA's Higher Expectations in 2021

March 09, 2021 Buddy Doyle, Evan Rosser, Ed Wegener, Jeffrey Hiller
Oyster Stew - A Broth of Financial Services Commentary and Insights
Reg BI - FINRA's Higher Expectations in 2021
Chapters
Oyster Stew - A Broth of Financial Services Commentary and Insights
Reg BI - FINRA's Higher Expectations in 2021
Mar 09, 2021
Buddy Doyle, Evan Rosser, Ed Wegener, Jeffrey Hiller

You’ve done the work to get ready for Reg BI…was it enough? Join Oyster CEO Buddy Doyle and consultants Ed Wegener and Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss regulators' expectations around Reg BI compliance in 2021, and how understanding and using FINRA's new Exam Priorities letter format can help you ensure your compliance program will meet those expectations.

 

Show Notes

You’ve done the work to get ready for Reg BI…was it enough? Join Oyster CEO Buddy Doyle and consultants Ed Wegener and Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss regulators' expectations around Reg BI compliance in 2021, and how understanding and using FINRA's new Exam Priorities letter format can help you ensure your compliance program will meet those expectations.