Katten will present the "Practical Workshop on Complying With Regulation Best Interest" webinar at 1:00 p.m. (ET) on Thursday, April 23. Financial Markets and Funds partners Susan Light, Richard Marshall and special counsel Michael Foley, will discuss how best to comply with SEC Rules on Regulation Best Interest and Form CRS by the SEC's Compliance date of June 30 — which apparently will not be delayed — and subsequent inspections by the SEC and FINRA to evaluate compliance efforts.
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Partner and Co-Chair, Broker-Dealer Regulation+1.212.940.8599 -
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