Compliance Round-Up: City Bar Series on COVID-19’s Impact on Ethics and Compliance
(Webinar) COVID-19 Does Not Delay Reg BI and Form CRS Compliance Date: Are You Ready?
Tuesday, June 9, 2020 | 11:00 am – 12:00 pm
Patty B. Tehrani
Analysis Manager
Bloomberg Law
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In June 2019, the SEC issued Regulation Best Interest (Reg BI), clarifying required standards of conduct for broker-dealers when advising retail customers. As part of the new rules, the SEC included the requirement for broker-dealers to provide a brief relationship summary, Form CRS, to retail investors. The compliance date for Reg BI and Form CRS, June 30, 2020, still holds despite the COVID-19 pandemic according to recent pronouncements and alerts issued by the SEC.
An expert panel will discuss:
- Highlights of Reg BI and Form CRS Requirements and Key Developments
- Impact of COVID-19
- Compliance Readiness Considerations
- Best Practices for Compliance
Who Should Attend: This program will be valuable to any practitioner responsible for providing legal or compliance advice to broker-dealers or investment advisers.
*This package also included two interpretations under the Investment Advisers Act of 1940, which will not be covered by this program.
Program Fee: $49 Members | $99 for Nonmembers
Members who are Recent Law Graduates, Newly Admitted Lawyers (admitted for the first time in any state or country 2018-2020), In-House/Corporate Counsel, Judges, or attorneys that practice within the Government, Academic or Not-for-Profit sectors attend this program for free.
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AJ Bosco
Special Counsel, ZEKSusan Schroeder
WilmerHale -
11:00am – 11:05am
Introduction
Patty P. Tehrani11:05am – 11:25am
Highlights of Reg BI and Form CRS Requirements and Key Developments
AJ Bosco, Susan Schroeder, Patty P. Tehrani11:25am – 11:40am
Compliance Readiness Considerations
AJ Bosco, Susan Schroeder, Patty P. Tehrani
11:40am – 11:55am
Best Practices
AJ Bosco, Susan Schroeder, Patty P. Tehrani
11:55am – 12:00pm
Conclusion & Q&A
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CLE Credit
New York: 1.0 Professional Practice
New Jersey: 1.2 General
California: 1.0 General
Pennsylvania: 1.0 General
Connecticut: Available to Licensed Attorneys -
Sponsoring Association Committees:
Compliance Law, Patrick T. Cambell, ChairSponsorship Opportunities are Available! Please Contact:
Angie Avila, Manager, Membership Outreach and Sponsorships | (212) 382-6608 | aavila@nycbar.org______________________________________________________________