Regulation Best Interest Policy

$150.00

This Regulation Best Interest Policy Template is intended to ensure proper adherence of a bank, credit union, or other type of financial institution to the provisions and intent of the Securities and Exchange Commission Regulation Best Interest, which establishes a standard of conduct under the Securities Exchange Act of 1934 for broker-dealers and natural persons who are associated persons of a broker-dealer when making a recommendation of any securities transaction or investment strategy involving securities (including account recommendations) to a retail customer.  See more information about this product below.

Regulation Best Interest Policy

This Regulation Best Interest Policy Template is intended to ensure proper adherence of a bank, credit union, or other type of financial institution to the provisions and intent of the Securities and Exchange Commission Regulation Best Interest, which establishes a standard of conduct under the Securities Exchange Act of 1934 for broker-dealers and natural persons who are associated persons of a broker-dealer when making a recommendation of any securities transaction or investment strategy involving securities (including account recommendations) to a retail customer.

Table of Contents

  • Purpose and Contents – Topic 1
  • Policy Statement – Topic 2
  • Covered Recommendations – Topic 3
  • Retail Customer and Legal Representative Definitions – Topic 4
  • Disclosure Obligation – Topic 5
  • Care Obligation Requirements – Topic 6
  • Conflict of Interest Obligation Requirements – Topic 7
  • Compliance Obligation Requirements – Topic 8
  • Audit Policy – Topic 9
  • Staff Training – Topic 10
  • Retention of Documentation – Topic 11

This Regulation Best Interest Policy Template (approximately 13 pages) is available to purchase from BankPolicies.com in Microsoft® Word format.

Want to ensure your purchase from BankPolicies.com remains current? Add a Product Update Protection Plan to your shopping cart to ensure that you will automatically receive an updated version every time it is revised via e-mail within one year from the last date of purchase. This timely and cost-effective solution ensures that you stay on top of federal regulatory changes and industry recommended best practices.

When updates are made you will receive detailed information regarding why the product was updated and what has changed within the product in our Product Update Notification e-mail correspondence. This enables you to make an informed decision on whether to make any changes to the policy or procedure you implemented for your financial institution from the revised template.

BankPolicies.com provides your financial institution with the best bank policy template products available in the industry. You will always be up to date with the latest changes to bank policies and never have to worry about being out of compliance with the various laws, rules and regulations issued by the Consumer Financial Protection Bureau (CFPB), Federal Deposit Insurance Corporation (FDIC), Federal Reserve, Office of the Comptroller of the Currency (OCC), or other federal regulatory bodies that may apply to your organization.

Our dedicated staff of career banking industry professionals are ready to keep your financial institution up to date with the latest bank policy standards and industry best practices. Purchase your bank policies from us today and rest easy knowing you have the right team helping you and your organization stay compliant. We look forward to earning your business for all of your bank policy needs.

You may also like…

Shopping Cart
Scroll to Top