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

• Description
• Faculty
• Agenda
• CLE Credit
• Sponsors

• 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.

• AJ Bosco
  Special Counsel, ZEK

  Susan Schroeder
  WilmerHale

• 11:00am – 11:05am
  Introduction
  Patty P. Tehrani

  11:05am – 11:25am
  Highlights of Reg BI and Form CRS Requirements and Key Developments
  AJ Bosco, Susan Schroeder, Patty P. Tehrani

  11:25am – 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
  

• 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, Chair

  Sponsorship Opportunities are Available! Please Contact:
  Angie Avila, Manager, Membership Outreach and Sponsorships | (212) 382-6608 | aavila@nycbar.org

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