A business intelligence implementation project involves considerable investments in terms of time and money. Hence, it is important to ensure its flawless execution. Here are highlighted some key ...

That leads us to a basic question on what constitutes a success or a failure in a BI system. There are two fundamental indicators of a successful BI implementation. First, is BI institutionalized in ...

While most broker-dealers are making a “good faith effort” to comply with Regulation Best Interest, some firms are not properly implementing the massive new retail investment advice rules designed to ...

In an article for InvestmentNews, Mark Schoeff Jr. covers the latest developments in the SEC and FINRA’s implementation of Regulation Best Interest (Reg BI). Reg BI was passed in 2019 and implemented ...

An open letter to two U.S. Senators emphasizes that the SEC must receive sufficient fiscal support to effectively oversee the industry’s ongoing implementation of Regulation Best Interest and Form CRS ...

Now that financial firms know that the deadline for implementing the Securities and Exchange Commission’s higher investment-advice standard for brokers remains June 30, they have to figure out what ...

Broker/dealer firms subject to Regulation Best Interest have been slow to make compliance reforms since the rule was implemented last year, according to a new survey from the North American Securities ...

The Securities and Exchange Commission will provide guidance to financial firms later this month on what the agency will expect from them in terms of compliance with its new investment-advice rules.

The implementation date for Reg. BI and Form CRS remains June 30, 2020. The SEC’s initial compliance review will be focused on “good-faith efforts.” Firms should make good faith efforts to implement ...