The Situation: The Office of Compliance Inspections and Examinations ("OCIE") of the U.S. Securities and Exchange Commission has released its 2019 Examination Priorities ("Report").
The Result: The Report details key areas...more
In April 2018, the U.S. Securities and Exchange Commission ("SEC") released Regulation Best Interest, or Reg BI, a proposed rule that will require broker-dealers to operate in the best interest of their customers. Under Reg...more
1/3/2019
/ Best Interest Standard ,
Broker-Dealer ,
Conflicts of Interest ,
Consumer Financial Products ,
Cross-Border Transactions ,
Dodd-Frank ,
Duty of Care ,
Fiduciary Duty ,
Fiduciary Rule ,
Foreign Investment ,
Investment Adviser ,
Proposed Regulation ,
Securities and Exchange Commission (SEC) ,
Wealth Management