To meet the SEC’s Reg BI obligations by June 30, broker-dealers have already established new procedures, processes and systems. But for compliance on day one, most firms have had to make quick decisions about the target state they need to achieve.
The challenge now is to develop more effective, sustainable approaches to Reg BI. With FIS’ insights, expertise, solutions and services, you can easily refine the processes you’ve already put in place to improve automation and efficiency.
You face an enormous, ongoing challenge when it comes to re-engineering your practices and developing viable long-term strategies for Reg BI. Learn how highly automated processes will help you reduce opportunities for error and more easily achieve compliance throughout the customer relationship.
With major disclosure requirements to manage and the pandemic continuing, can your operations take the strain of Reg BI? Get the latest advice on how you can start meeting Reg BI’s requirements more efficiently – and automatically ensure your recommendations are in your investors’ best interest.
Reg BI is an opportunity to do more than just comply – you can transform your operation for the future. But are you letting entrenched practices stand in the way of long-term change? For a sustainable approach to the SEC’s obligations, adapt your processes to industry-standard technology, not vice versa.
Thank you. We have received your request and will respond to you shortly. In the meantime, we invite you to continue to exploring FIS solutions for private equity.
Are you confident that you’re taking the most sustainable, effective approach to Reg BI? If the answer is no, then take 15 seconds to request our white paper.