You’ve done the work to get ready for Reg BI…was it enough? Join Oyster CEO Buddy Doyle and consultants Ed Wegener and Evan Rosser (former FINRA regulators) and Jeffrey Hiller (former SEC regulator) as they discuss regulators' expectations around Reg BI compliance in 2021, and how understanding and using FINRA's new Exam Priorities letter format can help you ensure your compliance program will meet those expectations.
CRC-Oyster: Compliance Risk Concepts / Oyster Consulting
