“The appropriate standard of care for those who provide investment advice to retail customers has been a hotly debated issue over at least the last decade.”
— SEC Commissioner Hester Peirce.

It may have been decades in the making, but the SEC has now advanced a trio of proposals—Regulation Best Interest, Form CRS, and an interpretation of the IA fiduciary standard—that form a package designed to balance competing business models and help investors differentiate between investment advisers and broker-dealers.

The proposals run to hundreds of pages and much like the Department of Labor’s fiduciary duty rule has already generated substantial debate and questions about what steps to take now to be ready for what may be coming down the pike.

Join us Monday, October 15 in New York City and discover:

  • Where the lines are drawn on compensation structures in proposed Reg BI.
  • What types of common industry practices would have to end.
  • The estimated costs to comply and likely compliance timeframe.
  • Why advisers may need to prepare for mandatory licensing and financial standards.
  • How the confines of Form CRS will challenge even the most transparent firms.
  • Tips tied to the compliance officer’s role in ensuring adherence to new standards.
  • And much more.