Regulation Best Interest [REG BI] Video 1

Описание: On June 15, 2019, the Securities and Exchange Commission adopted some new rules called Regulation Best Interest referred to as [REG BI].

REG BI establishes a new standard of conduct for Financial Professionals when making a recommendation of any securities transaction, which includes financial planning, consulting, buying or selling a stock, bond, ETF or establishing a specific investment strategy for a client or prospective client.

When making such a recommendation to a client or prospective client, we must act in your best interest at the time of the recommendation, without placing our own financial or other interests ahead of yours.

There are four components to REG BI that we follow:

[ 1 ] DISCLOSURE:
Prior to, or at the time of a recommendation, we provide you with the Customer Relationship Summary [also known as the CRS form], which outlines the rules.

This document can be viewed and downloaded from our "Forms Gallery" on our website at globewealth.com.

[ 2 ] CARE:
We exercise reasonable diligence, care, and skill in making the recommendation.

[ 3 ] CONFLICT OF INTEREST:
We establish, maintain, and enforce written policies and procedures designed to address conflicts of interest.

[ 4 ] COMPLIANCE:
We establish, maintain, and enforce written policies and procedures designed to achieve compliance with Regulation Best Interest.

To provide insights and information on how our firm, Globe Wealth Management, observes the four obligations of Regulations Best Interest and how we act in YOUR best interest... we have created this three part video series to address the topic and how it affects you when you are looking to partner with a Financial Professional.

GLOBE WEALTH MANAGEMENT
Pursuing Generational Wealth Through Strategic Financial Planning
globewealth.com

Executive Producer/Executive Editor:
George Cox - Cox Video

Executive Director/Location:
Marc Duci - Acton TV - Acton, MA

Director/Writer:
Richard W. Holt Johnson

Associate Director/Writer:
Hunter Edwards

Writer/Presenter:
Stacey Blodgett

Writer/Presenter:
Regina Kozsan

Produced:
2021

Securities and advisory services offered through Cetera Advisors LLC, member FINRA/SIPC, a broker/dealer and a Registered Investment Adviser. Cetera is under separate ownership from any other named entity.