REG BI -120 Days On

Presented by

Donald McElligott, VP Compliance, Global Relay; Hank Sanchez and Robert Lavigne, Managing Directors, Bates Compliance

About this talk

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 best interest of their clients first. REG BI came into effect on June 30, 2020 and 120 days on, Global Relay and Bates Compliance experts will assess the impact the biggest change to regulation in years has delivered. Watch this webinar to learn: - What has happened since REG BI came into effect - How it has impacted the technology side of business - Common concerns raised by the SEC

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Global Relay (www.globalrelay.com) is a leading provider of compliant electronic communications archiving, messaging, supervision, information governance, and eDiscovery. Our 20,000+ customers in 90 countries include highly regulated organizations and other corporate firms, including financial services, insurance, technology, energy (oil and gas), legal, government and healthcare. Global Relay Archive preserves more than 60 data types within a unified, highly-secure and scalable cloud repository. Data types include: email, collaboration platforms (e.g. Microsoft Teams, Slack, Zoom), Instant Messaging, Bloomberg®, Refinitiv, social media, text messaging, voice, and trade data. Global Relay Message enables organizations to collaborate both internally and externally, confident that compliance, privacy, and security requirements are being met. Contact us at connect@globalrelay.net