Master compliance with greater confidence.
For Investment Advisers
Compliance strategy delivered by experts in the financial services industry.
Proven experience to guide you through regulatory and compliance issues.
For Hedge Fund Managers
Practical solutions to complex compliance and registration questions.
For Investment Companies
Manage compliance issues with greater confidence and confidentiality.
July 25, 2019
1:00 PM - 3:00 PM EDT
State Registered Investment Advisers: A Compliance Tutorial for Working with State Regulators
SEC Adopted Regulation Best Interest! What Does this Mean for Your Firm?
The SEC has adopted Regulation Best Interest (“Reg BI”) and the Form CRS Relationship Summary (“Form CRS”), both of which were proposed on April 18, 2018. In addition, the Commissioners approved SEC staff interpretations of the meanings of “fiduciary”…
SEC Regulation Best Interest: Ready or Not, Here it Comes!
Just over one year has passed since the SEC proposed Regulation Best Interest (Reg BI) in April 2018. The SEC has stated that it hopes to have the regulation finalized by the end of September 2019. Although it’s anyone’s guess what the final regulation will look like…