Intro Topic I – Overview Of The New Regulation Best Interest Topic II – Best Interest Obligation and Key Areas of Obligation Topic III – Books and Records Requirements Topic IV – Next Steps To Remain in Compliance Outro
Guest Speaker Information: Mary Ellen Storey, Vice President Cerulean Securities Compliance Mary Ellen’s Linkedin: https://loom.ly/UBKmzDE
Company Website: https://loom.ly/BoOjuZg Phone: (816) 858-7880 Company LinkedIn: https://loom.ly/sOV7X14 Company Twitter: https://loom.ly/utsslWk
Other informative links:
Form CRS Relationship Summary; Amendments to Form ADV https://loom.ly/0epzpSY
Regulation Best Interest: The Broker-Dealer Standard of Conduct https://loom.ly/ykOUOS0
