Description

In this episode, Oyster CEO Buddy Doyle, and Consultants Bob Tuch and Bill Reilly discuss the Regulation Best Interest (Reg BI) Conflicts of Interest Obligation, including: 

• Identifying and assessing conflicts
• Disclosure, mitigation, elimination and monitoring
• New product review around conflicts
• Escalating conflicts 
• Conflict surveillance
• Disclosure reviews
• Training 

Reg BI requirements touch on many, many aspects of Broker-Dealer and RIA businesses.  Oyster can help your firm navigate the rule and make sure your firm is compliant and ready for the implementation deadline. 

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Does your firm need help now? Contact us today!