Coffee & Regs

A Retrospective on Form CRS & Reg BI and Regulator Insights


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In this episode, CSS’s Co-Executive Directors of Compliance Services, Keith Marks and Jackie Hallihan walk through a retrospective of Form CRS and Reg BI now that the June deadline has passed. They also discuss compliance best practices that are emerging in this COVID environment from changes in training, process and operations, to working with regulators and how firms have fared with regulatory examinations.

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Coffee & RegsBy CSS (Compliance Solutions Strategies)