Blog
FinReg + Policy Watch
February 8, 2023

SEC EXAMS Division Publishes Reg. BI Risk Alert

Our client alert discusses the deficiencies the staff identified during examinations and provides examples of weak practices observed at firms. EXAMS staff intends for the alert to assist broker-dealers in reviewing and enhancing their Regulation Best Interest compliance programs. The alert also serves as a useful roadmap of the direction in which the staff will take Reg. BI exams in 2023.

The post SEC EXAMS Division Publishes Reg. BI Risk Alert appeared first on FinReg & Policy Watch.