Reg BI: Keep the (Good) Faith

Kelley Howes spoke to Regulatory Compliance Watch for an article covering the pending Reg BI deadline.

Though regulators will make allowances for “good faith” efforts at Reg BI, the June 30 deadline won’t change, and the SEC says it will begin examining for Reg BI compliance beginning July 1. Kelley says that while the broader principle behind Reg BI seems intuitive, there’s a lot of work that has to be done to comply with it.

Read the full article (subscription required).

Kelley also joined a panel for a Regulatory Compliance Watch webinar featuring tips and best practices to implement Reg BI. View the full webinar (subscription required).