With SEC Regulation Best Interest (“Reg-BI”) effective as of June 30, 2020, SEC examiners will now focus on whether firms have made a good faith effort to implement policies and procedures (“P&Ps”) that are necessary for...more
11/20/2020
/ Best Interest Standard ,
Broker-Dealer ,
Conflicts of Interest ,
Fiduciary Duty ,
Investment Adviser ,
Investment Management ,
Policies and Procedures ,
Regulation Best Interest ,
Regulation BI ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Transactions ,
Standard of Conduct
Litigation Risks Posed by the SEC’s Regulation Best Interest -
Pete Tepley and Meredith Lees highlight litigation risks posed by the SEC’s Regulation Best Interest (Reg-BI), litigation risks that may arise from Reg-BI’s...more
1/14/2020
/ Arbitration ,
Best Interest Standard ,
Best Practices ,
Broker-Dealer ,
Conflicts of Interest ,
Cooperative Compliance Regime ,
Disclosure Requirements ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investment Management ,
Policies and Procedures ,
Regulation Best Interest ,
Regulatory Oversight ,
Regulatory Requirements ,
Retail Investors ,
Risk Mitigation ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Transactions ,
Standard of Care ,
Standard of Conduct