Regulatory Outlook | 07.11.19
Webcast on SEC Regulation Best Interest
Join BISA and Eversheds Sutherland on Tuesday, July 23, 2019 from noon to 1 p.m. EDT for a webcast dedicated to the SEC’s new standard of conduct rules and related considerations for bank-affiliated broker-dealers (BDs) and investment advisers (IAs).
Eversheds Sutherland lawyers Clifford Kirsch, Ben Marzouk and Bria Adams will focus on the impact of the U.S. Securities and Exchanges Commission (SEC)’s adoption of its comprehensive standard of conduct rules, forms and interpretations for broker-dealers and investment advisers and related developments. In particular, they will examine:
- Conflict disclosures that may come into play for bank-affiliated firms
- Sales contests, quotas and non-cash compensation
- Third-party compensation or “revenue sharing” received by bank-affiliated firms, and related disclosures of such payments
- Managing Certified Financial Planner (CFP) designations for BD-registered representatives or IA-supervised persons
- Policies and procedures that should be uniquely tailored to bank-affiliated firms.
This webinar is free for BISA members.
Eversheds Sutherland is a BISA Regulatory & Compliance Advisory Board Member. Please contact firstname.lastname@example.org with any questions or concerns.
Cliff Kirsch is a partner in Eversheds Sutherland’s New York City office; Ben Marzouk is counsel in Eversheds Sutherland’s Washington, D.C. office; and Bria Adams is an associate in Eversheds Sutherland’s Washington, D.C. office.