June 22, 2020

Corporate & Financial Weekly Digest, Featuring Articles on Recent Comments From the SEC Chairman on Regulation Best Interest and New FAQs From the European Commission on Sustainable Finance

Carolyn Jackson, Nathaniel Lalone, Susan Light, Stanley Polit, Neil Robson

Katten Muchin Rosenman LLP

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BROKER-DEALER -

SEC Chairman Clayton Provides Public Statement Regulation Best Interest and Form CRS -

On June 15, Securities and Exchange Commission Chairman Jay Clayton made a public statement (Statement) covering several topics related to Regulation Best Interest (Reg BI) and Form CRS. Chairman Clayton confirmed that the compliance date for Reg BI and Form CRS will be June 30, 2020 and emphasized the SEC’s focus on issues related to Main Street investors, including the creation of a new investor-focused resource to assist such investors with reviewing the Form CRS and researching firms and financial professionals.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.