BACCF 2019 - Regulation Best Interest Workshop

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Name: BACCF 2019 - Regulation Best Interest Workshop
Date: December 12, 2019
Time: 8:30 AM - 10:30 AM EST
Registration: Register Now
Event Description:
The Brazilian-American Chamber of Commerce of Florida
and

Shutts & Bowen
Cordially invite you to a workshop on

Regulation Best Interest

Presented by:
Kimberly Prior & Greta Trotman  (bios)

Reg BI imposes a number of new obligations on broker-dealers, including those dually registered as investment advisers, when making securities or investment strategy recommendations to retail investors.  Many anticipate that the impact of Reg BI will affect the financial services industry far beyond broker dealers and investment advisers, providing a benchmark to standardize conduct more broadly.  The compliance deadline is fast approaching: firms must comply with Reg BI and Form CRS by June 30, 2020.  
 
In this workshop, Shutts & Bowen attorneys will provide an outline of Reg BI and share some insights they have received from the staff attorneys at the U.S. Securities and Exchange Commission (SEC) regarding Reg BI, including applicability in the cross-border context.  Participants will be encouraged to ask questions.  The session will include the following discussion points:
  • Overview and Discussion of Regulation Best Interest
  • Discussion of Specific Terms and Implications
  • How to Satisfy the Best Interest Obligation - 4 Principal Obligations
  • Unique Cross Border Issues for Reg BI
  • Investment Adviser Considerations
  • New Required Documentation, Policies and Procedures
 
The Reg BI workshop is recommended for anyone who works for or with financial services industry firms (broker-dealers, investment advisers, banks, trust companies, etc.) or anyone interested in learning more about fiduciary duties and related standards of conduct.
 
Event Sponsors:
Location:
Shutts & Bowen
200 S Biscayne Blvd., Suite 4100
Miami, FL 
33131
Date/Time Information:
Thursday, December 12, 2019
Time: 8:30 - 10:30 am 
Contact Information:
info@brazilchamber.org
Fees/Admission:
Members: $25.00 Non-Members $45.00
Don't wait until the last minute to register space is limited and fills up quickly. The BACCF requires an RSVP for all events. Only reservations made through our website will be honored. Reservations are accepted on a first-come first-served basis. All cancelations must be made by December 5th. and will be charged a $25.00 processing fee. Uncanceled reservations and no-shows are paid in full. *Reservations made on/after December 5th are not refundable. 
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