A Retrospective on Form CRS & Reg BI and Regulator Insights

In this episode, CSS’s Co-Executive Directors of Compliance Services, Keith Marks and Jackie Hallihan walk through a retrospective of Form CRS and Reg BI now that the June deadline has passed. They also discuss compliance best practices that are emerging in this COVID environment from changes in training, process and operations, to working with regulators and how firms have fared with regulatory examinations.

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A CSS RegTech podcast series on moving from a tactical to strategic approach to regulatory compliance. The global regulatory space is complex and fragmented. Financial firms can address this problem through tactical responses to regulatory deadlines or think more strategically on how to optimize their compliance data, operations and technology. The Compliance Solutions Strategies weekly podcast features regulatory experts, former Chief Compliance Officers, cybersecurity specialists, industry partners and RegTech collaborators to help prepare investment management firms for changes on the regulatory horizon.