The SEC Regulation Best Interest standard has been saved
Services
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.
Our services
Please find below detailed information about our Day 2 services. Click here for a summary of all services.
Additional resources
![${tab-1-img-alt}](/content/dam/Deloitte/us/Images/Misc/html-fragment-images/tabbed-carousel/blue-person-text-icon.jpg)
Publications
Read more about implementation and related industry insights
• A firm's guide to the implementation of Reg BI and the form CRS relationship summary
• A study on how wealth management firms are implementing the Reg BI rule package
![girl](/content/dam/Deloitte/us/Images/Misc/html-fragment-images/tabbed-carousel/blue-chat-icon.jpg)
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.
![ship](/content/dam/Deloitte/us/Images/Misc/html-fragment-images/tabbed-carousel/blue-notes-search-icon.jpg)
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 |
|
Karl Ehrsam |
|
Bruce Treff |
Craig Friedman |
||
George Hanley |
Josh Uhl |
||
|
|
Recommendations
SEC enforces action for robo adviser compliance infraction
False claims concerning the technology behind robo advisers