In this Oyster Stew episode our experts unpack what regulators expect and how firms can build strong processes around Reg Bi and account type recommendations recommendations.

·       What Makes an Account Recommendation “Best Interest”? 

·       Balancing Cost and Services. 

·       Special Considerations in Practice Transitions. 

·       Avoiding Double Dipping. 

·       Documentation: Showing Your Work. 

CRC-Oyster: Compliance Risk Concepts / Oyster Consulting