Reg BI means revamping marketing materials; Amy Lynch on what’s required (FundFire – Subscription Req’d)

The SEC’s Regulation Best Interest Rule (Reg BI) is causing firms to review and revise marketing materials, which is hinged on their type of firm registration and use of the term “advisor.” According to Founder and President Amy Lynch, broker-dealers are largely impacted, including those affiliated with a registered investment adviser (RIA) or offering financial…

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Amy Lynch’s tips to achieve effective remote compliance featured (Reuters)

Founder and President Amy Lynch recently spoke with national news syndicate Reuters to discuss the challenges posed to remote CCOs and their compliance programs. Ms. Lynch points to the fact that firm employees are now scattered in numerous remote locations, so the CCO does not have the traditional office proximity and physical presence to monitor individuals or…

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