How sure are you that you’re fully compliant?
As a compliance officer, you’re responsible for your firm satisfying Regulation Best Interest (Reg BI) and/or Form CRS requirements. Wouldn’t it be nice to have the peace of mind that comes with verifying you’re fully compliant?
That’s why we’re offering a Reg BI and Form CRS compliance assessment.
By having a regulatory specialist like Wipfli come in, you can make sure you’re able to prove to SEC examiners that you put the appropriate policies and procedures in place, correctly prepared your disclosures, gathered all the evidence you need of the implementation, and properly trained your employees.
Our professionals are highly experienced in both regulatory compliance and the financial services industry. Plus, they add even more value by providing you with recommendations for how you can close any gaps they find, further preparing you for meeting with SEC examiners.
Contact us to get started with our Reg BI and Form CRS compliance assessment.