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The SEC Regulation Best Interest standard

A summary of resources for navigating Reg BI compliance

On June 30, 2020, the Securities and Exchange Commission’s Regulation Best Interest (Reg BI) went into effect for broker-dealers, registered investment advisers, and dual registrants to enhance the transparency and quality of investors’ relationships. But this is just the beginning of the journey. Explore available Deloitte resources to help you comply with the Reg BI rule and implement your Day 2 initiatives.

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    Additional resources

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    Webinars

    Investment Management: Compliance and Inspections

    Maria Gattuso spoke on July 28 at PLI's Investment Management Institute 2020.


    Reg BI: Implementation and implications

    Listen to a replay from this May 2020 NICSA webinar, featuring Maria Gattuso.


    Reg BI implementation challenges for June 30, 2020, and beyond

    Listen to a replay and download the slides from this March 2020 webinar.


    Reg BI: Compliance progress, deployment challenges, and solution ideas

    Listen to a replay and download the slides from this February 2020 Dbriefs webcast.

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    Articles

    Check out the following articles which include important insights from members of our Reg BI leadership team.


    Investment firms can leverage regulatory relief now, The Wall Street Journal, April 27, 2020


    New rule recasts broker-dealer retail sales practices, The Wall Street Journal, May 14, 2020


    Prioritization and training key for Reg BI preparedness, WealthManagement.com, June 30, 2020


    Ongoing Reg BI Compliance: Can Technology Help?, The Wall Street Journal, January 11, 2021


    Testing Compliance Under Reg BI Presents Challenges, The Wall Street Journal, January 27, 2021

    Let's connect

    We are here to help. Whether you'd like to arrange a meeting to discuss your organization's needs or you'd like us to respond to your RFP, click the link below to connect with our Reg BI team.

    Deloitte can help

    Please let us know if you have interest in learning more about the services that we are actively delivering to help firms prepare for all that lies ahead. Contact a member of our leadership team to discuss your organization’s needs.

    Maria Gattuso
    Principal
    Risk & Financial Advisory
    Deloitte & Touche LLP

     

    Karl Ehrsam
    Principal
    Risk & Financial Advisory
    Deloitte & Touche LLP

     

    Bruce Treff
    Managing director

    Risk & Financial Advisory
    Deloitte & Touche LLP

     

    Craig Friedman
    Senior manager

    Risk & Financial Advisory
    Deloitte & Touche LLP

     

    George Hanley
    Managing director

    Risk & Financial Advisory
    Deloitte & Touche LLP

     

    Josh Uhl 
    Senior manager

    Risk & Financial Advisory
    Deloitte & Touche LLP