Compliance executive, operations leader, and process specialist.
Compliance executive, operations leader, and process specialist.
DuMont Consulting provides comprehensive Regulation Best Interest (Reg BI) compliance implementation services for broker-dealers that serve retail investors. Reg BI, enforced by the U.S. Securities and Exchange Commission, establishes a heightened standard of conduct requiring broker-dealers to act in the best interest of retail clients at the time of any recommendation involving securities transactions, investment strategies, account types, or rollovers. Firms must demonstrate that recommendations are made without placing the firm’s financial or other interests ahead of the client’s interests.
Our Reg BI compliance solutions are designed to help broker-dealers operationalize the regulation across all four core obligations: Disclosure, Care, Conflict of Interest, and Compliance. DuMont Consulting assists firms in drafting and enhancing Reg BI-aligned policies and procedures, ensuring that disclosures are clear, accurate, and consistent with actual business practices. We develop documentation frameworks that support reasonable-basis, customer-specific, and quantitative suitability analyses, helping firms evidence that recommendations are in the client’s best interest.
DuMont’s consultants also design and implement Reg BI supervisory systems and controls, including surveillance procedures, escalation protocols, and supervisory review workflows that align with FINRA and SEC examination expectations. Our services extend to the creation of firm-wide and role-specific Reg BI training programs, ensuring registered representatives, supervisors, and compliance staff fully understand their obligations and can apply Reg BI principles in real-world scenarios.
For firms leveraging outsourced CCO services for investment firms, DuMont Consulting provides ongoing Reg BI monitoring, testing, and enhancement as regulatory interpretations, enforcement actions, and examination priorities evolve. This continuous oversight helps broker-dealers stay ahead of regulatory risk, reduce enforcement exposure, and demonstrate a strong culture of compliance and investor protection.
By partnering with DuMont Consulting for Regulation Best Interest compliance implementation, broker-dealers gain a structured, defensible, and scalable Reg BI program that supports regulatory readiness, enhances client trust, and aligns business growth with evolving investor protection standards.
