Compliance Round-Up: City Bar Series on COVID-19’s Impact on Ethics and Compliance
COVID-19 Does Not Delay Reg BI and Form CRS Compliance Date: Are You Ready?
Tuesday, June 9 2020 | 11:00 am - 12:00 pm
Please Note: This program will be in a live webinar format — it will consist of audio-only instruction by the faculty, along with a visual aid presentation.
For New York Attorneys: This live webinar format is acceptable for all attorneys (both newly admitted and experienced) for all credit types. This includes, for newly admitted attorneys, Skills credit (through June 30,2020, per recent guidance of the CLE Board – for more information, click here).
$49 for Members | $99 for Nonmembers
Members who are Recent Law Graduates, Newly Admitted Lawyers (admitted for the first time in any state or country 2018-2020), In-House/Corporate Counsel, Judges, or attorneys that practice within the Government, Academic or Not-for-Profit sectors attend this program for free.
New York: 1.0 Professional Practice
New Jersey: 1.2 General
California: 1.0 General
Pennsylvania: 1.0 General
Connecticut: Available to Licensed Attorneys
This program provides transitional/non-transitional credit to all attorneys
In June 2019, the SEC issued Regulation Best Interest (Reg BI), clarifying required standards of conduct for broker-dealers when advising retail customers. As part of the new rules, the SEC included the requirement for broker-dealers to provide a brief relationship summary, Form CRS, to retail investors. The compliance date for Reg BI and Form CRS, June 30, 2020, still holds despite the COVID-19 pandemic according to recent pronouncements and alerts issued by the SEC.
An expert panel will discuss:
- Highlights of Reg BI and Form CRS Requirements and Key Developments
- Impact of COVID-19
- Compliance Readiness Considerations
- Best Practices for Compliance
Click Here to View Program Agenda & Faculty
Patty P. Tehrani, Bloomberg Law Analyst
Sponsoring Association Committee:
Compliance Law, Patrick T. Campbell, Chair