Eden Rohrer

K&L Gates LLP

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OCIE Issues Guidance for Examinations of Regulation Best Interest and Form CRS

The June 30 deadline for compliance with Regulation Best Interest [1] and Form CRS [2] presents new compliance obligations for broker-dealers and investment advisers engaging in a retail business. In anticipation of this...more

4/24/2020 / Form CRS , OCIE , Regulation BI , Securities and Exchange Commission (SEC)

Financial Professional Standards of Conduct: 2019 San Francisco Investment Management Conference

AGENDA - - Background - Regulation Best Interest - Judicial Challenges to Regulation Best Interest - Form CRS - Interpretation of Investment Adviser’s Fiduciary Duty - Interpretation of the “Solely Incidental” Prong...more

12/10/2019 / Broker-Dealer , Fiduciary Duty , Form CRS , Investment Adviser , Investment Advisers Act of 1940 , Regulation Best Interest , Securities and Exchange Commission (SEC) , Standard of Conduct

Links to Regulatory Materials

SEC ADOPTING RELEASES - New Regulation Best Interest: Title: Regulation Best Interest: The Broker-Dealer Standard of Conduct....more

8/1/2019 / Broker-Dealer , Fiduciary Duty , Financial Industry Regulatory Authority (FINRA) , Form CRS , Investment Adviser , New Rules , Regulation Best Interest , Securities and Exchange Commission (SEC) , Standard of Conduct

Form CRS: Practical Considerations

OVERVIEW - On June 5, 2019, the Securities and Exchange Commission (the “SEC”) adopted a series of new rules and interpretations designed to enhance the protection of retail investors and to improve the quality and...more

7/31/2019 / Broker-Dealer , Fiduciary Duty , Form CRS , Investment Adviser , New Rules , Regulation Best Interest , Retail Investors , Securities and Exchange Commission (SEC) , Standard of Conduct

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