In an exclusive video interview. Founder and President Amy Lynch provides guidance on where firms should now be with their Regulation Best Interest (Reg BI) compliance, and what they can expect from an SEC exam. In the video discussion with Financial Advisor IQ, Ms Lynch explains how she expects the SEC to approach these targeted exams, and what the regulator is seeking from them. Ms Lynch also states that the SEC has a certain approach with exams immediately following the approval and implementation of a new regulation.
To view the video, See Financial Advisor IQ, “SEC Conducting Targeted Reg BI Exams: Compliance Consultant”
