11 Nov Regulation BI and Form CRS - Early Regulatory Exam Experiences Regulation BI and Form CRS - Early Regulatory Exam Experiences Wednesday, November 11, 2020 (3:00 PM to 4:00 PM) Webinar Details You're Registered! DescriptionLocation On April 7, 2020, the SEC's OCIE department issued Risk Alerts covering expectations concerning the scope and content of initial Reg BI and CRS examinations, stating that it would look for “good faith efforts” to comply with these new regulations. FINRA has echoed the SEC's approach. The regulators have indicated they would provide coordinated guidance to firms that met the good faith compliance threshold but had areas in need of improvement. We will explore if early exam experiences are in-line with the SEC's stated approach, and if there are any early lessons learned from the Reg BI and Form CRS exam experiences. The panel will include both a "boots on the ground" perspective and an outside counsel's views on areas of SEC interest. Webinar