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CPBD- Reg. BI Supervisory Review of Client Recommendations

CPBD- Reg. BI Supervisory Review of Client Recommendations

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Compliance with Regulation Best Interest (Reg. BI) continues to be a concern of regulators. The Reg. BI Supervisory Review of Client Recommendations form serves as a tool to document supervisory reviews related to Reg BI recommendations. The form documents if the representative exercised reasonable diligence, care, and skill when making the recommendation by guiding the reviewer through questions to evaluate the recommendation and review complex product considerations to determine if the recommendation meets the Reg BI requirements.  Members also downloaded the Reg. BI Documentation Form for Client Recommendations, Broker-Dealer Regulation Best Interest (Reg BI) & Form CRS Process Flow ChartForm CRS Relationship Summary Template for Broker-Dealers and FINRA Reg BI and Form CRS Firm Checklist.

Version/Update: V.1/August 5, 2022

Total Page Count/Format: 2/.pdf (form filler)

Source/Author(s): Brad Callen

(See Brad Callen’s Library for Additional resources)

Published by: Connexien

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