Search results Search for: Search Refine your results by duration: Any Under 5 mins Under 20 mins Over 20 mins Sort by: Relevance Views Date REG BI -120 Days On Donald McElligott, VP Compliance, Global Relay; Hank Sanchez and Robert Lavigne, Managing Directors, Bates Compliance In 2019, the US SEC (Securities and Exchange Commission) passed the Regulation Best Interest (REG BI) rule that bound broker-dealers by law to put the... 2 years ago | 43 mins Understanding Regulation Best Interest (Reg BI) Donald McElligott, VP Compliance, Global Relay; Robert Lavigne, Managing Director, Bates Compliance Effective from June 30th 2020, the US SEC (Securities and Exchange Commission) Regulation Best Interest (Reg BI) rules mean that broker-dealers will b... 3 years ago | 49 mins Be Ready for Reg BI Product Lineup Suitability through Morningstar Peter Di Teresa, Head of Selection Manager and Shannon Zimmerman, Director of Manager Selection In this webinar, our manager selection experts will share thoughts and tips on how to design an investment lineup that will serve the best interests o... 3 years ago | 50 mins Navigating The Financial Advisor Desktop by Copytalk Maree Moscati, CEO, CopyTalk | Doug Wardley, VP, Product Strategy, LPL Financial Technology, advice, and financial planning intersect on the financial advisor digital desktop. This rapidly changing desktop gives advisors the tools ... 3 years ago | 22 mins
