The Foundation Of A Regulation Best Interest Compliance Program
Ghillaine Reid and Kurt Wolfe published an article in Financial Advisor Magazine titled, “ The Foundation Of A Regulation Best Interest Compliance Program.” They write, “By designing and implementing policies and procedures that comply with the most restrictive [broker-dealer conduct standards]—treating Reg BI as a floor and not a ceiling—firms can establish a single internal standard that applies to securities transactions in all jurisdictions where the firm recommends securities transactions or investment strategies to retail investors.” Like or share on LinkedIn here.