AI Insight

Alternative Investment Insight through Research, Training and Increased Efficiency

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Review alternative investment trends and historical market data for private placements, public non-traded REITs,
BDCs, closed-end funds,
and alternative mutual funds.

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2020 FINRA Priorities Letter – Focus on Regulation Best Interest, Supervision and Suitability

FINRA recently issued its 2020 Risk Monitoring and Examination Priorities Letter along with its 2019 Report on Examination Findings and Observations. As expected, Regulation Best Interest (Reg BI) takes the lead in this discussion. These reports also highlight, among other things, the continued focus on sales practices regarding supervision and client suitability.
Specifically, the 2020 Priorities

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AI Insight

Alternative Investment Insight through Research, Training and Increased Efficiency

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Review alternative investment trends and historical market data for private placements, public non-traded REITs, BDCs, closed-end
funds, and alternative mutual funds.

requestReport
2020 FINRA Priorities Letter – Focus on Regulation Best Interest, Supervision and Suitability

FINRA recently issued its 2020 Risk Monitoring and Examination Priorities Letter along with its 2019 Report on Examination Findings and Observations. As expected, Regulation Best Interest (Reg BI) takes the lead in this discussion. These reports also highlight, among other things, the continued focus on sales practices regarding supervision and client suitability.
Specifically, the 2020 Priorities

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Gain the “edge of insight” with multiple subscription options tailored to your needs.

AI Insight is the industry’s online go-to resource for alternative investment research, training and compliance support. Join the thousands of advisors and financial firms who have increased their knowledge and confidence with new product offerings on our platform.

AI Insight covers over 200 non-traded alternative investment funds representing $33 billion in assets, and over 80 alternative strategy mutual funds, representing nearly 80% of the AUM of the alternative strategy mutual fund market.

Join us each month for AI Insight's Alternative Investment Webinar Series

Do you have questions about Regulation Best Interest? Join us along with Bates Compliance on Feb. 27 at 4:00 p.m. ET for a webinar to help you better understand the SEC’s Regulation Best Interest rules and learn how you can prepare for the June 30 compliance date. Register