Regulation Best Interest 5 Years Later
The adoption of Regulation Best Interest (“Reg BI”) marked one of the most consequential shifts in US securities regulation since the Securities Exchange Act of 1934. It replaced the long-standing...Read more
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Steven D. Trigili, MBA, CAMS, is the Chief Compliance and Anti-Money Laundering Compliance Officer at Garden State Securities, Inc. and Garden State Investment Advisory Services, LLC, an independent, U.S-based financial services firm servicing institutional and retail customers around the world. With over 30 years of experience in executive-level compliance and risk management in financial services, Steven oversees Garden State’s entire global compliance program. He is directly responsible for the firm’s risk management and anti-money laundering programs, and he also leads the firm’s cybersecurity and safeguarding initiatives. In addition to these responsibilities, he plays a key role in developing and implementing firm-wide policies to ensure compliance with evolving regulatory requirements and industry best practices. Before joining Garden State in 2010, he served as the CCO for a boutique Wall Street-based global investment and wealth management firm. Steven is currently serving a third term on the Financial Services Regulatory Authority (FINRA) Regional Committee, and he also serves on the FINRA Continuing Education Content Committee, where he assists in writing content for exams and continuing education courses. A featured speaker at industry conferences abroad for over 20 years, Steve also provides consulting and expert witness services to investment advisors and their counsel. Steven is also an adjunct professor of business and management at the graduate schools of Georgian Court University, Northern State University and Southern New Hampshire University, and he serves on the editorial board of the Journal of Financial Compliance.