Live Webinar April 1st on Navigating Reg BI Enforcement

Five years into the Best Interest journey, enforcement activity is accelerating, offering greater clarity on regulatory expectations for investment advisers and broker-dealers. The most recent wave of fines and sanctions—particularly around account type recommendations and clone ETFs—underscores the growing pressure on wealth management firms to adapt. As these expectations take shape, compliance teams are uniquely positioned to help protect firm reputation and drive strategic growth.

We invite you to join us for a live webinar on April 1 at 1 PM ET, where Bates Group Managing Director Armin Sarabi will join a panel of industry leaders to explore the shifting regulatory landscape and share practical strategies firms can use to stay ahead.

Register Now to secure your spot and help ensure your firm remains compliant in an era of heightened FINRA and SEC scrutiny.

Webinar Details and Registration

This webinar qualifies for 1 IACCP CE credit.