Conflicts of Interest | Cross Trading | Form CRS | Private Funds | Regulation Best Interest | Regulatory Deadlines

States Challenge Reg-BI, Into the Weeds on Form CRS, NY Updates Privacy Laws, Share Class Selection Violations Reach Private Funds and FINRA Arbitration Puzzle – Custodian Liable for Unaffiliated Adviser Conduct: Regulatory Update for October 2019

Risk Alert on Principal and Agency Cross Transaction. The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert warning advisers about cross trading compliance issues under Section…

Conflicts of Interest | cryptocurrency | Form CRS | Municipal Advisors | Regulation Best Interest | Regulatory Deadlines | Seniors and Vulnerable Investors

Fee-Based Annuities Get a Boost, More Resources on Reg BI and Form CRS, States get Tough on Crypto Scams, SEC Speaks on Proxy Voting, Gets Tough to Protect Vulnerable Adults and Drops the Other Shoe on Revenue Sharing: Regulatory Update for September 2019

IRS Ruling Allows Advisers to be Paid out of Fee-Based Annuities. Nationwide and a few other insurers, including Lincoln Financial and Great American Life, have received private letter rulings from…

Conflicts of Interest | Form ADV | Form ADV Disclosure | Form CRS | Investment Adviser Regulation | Regulation Best Interest | Regulatory Deadlines | SEC Rule changes

SEC Adopts Broker-Dealer Best Interest Standard, Approves Form CRS and Explains Advisers’ Fiduciary Duty; GIPS 2020 Standards Finalized; Epic Ethics Fail by Large Auditing Firm: Regulatory Update for July 2019

Time to Roll-Up Your Sleeves and Dive into Regulation Best Interest: There are many great resources out there that summarize the newly adopted Securities Exchange Act Rule 15l-1 (“Regulation BI”). …

Conflicts of Interest | Form CRS | Investment Adviser Regulation | Regulation Best Interest | SEC Rule changes

SEC Proposes New Best Interest Standard for BDs, Conduct Standards for RIAs, Warns Advisers about Bad Billing Practices, and the EU Extends its Reach on Data Protection: Regulatory Update May 1, 2018

SEC Proposes “Regulation Best Interest” for Broker-Dealers: In an attempt to “enhance the quality and transparency of investors’ relationships with investment advisers and broker dealers,” the SEC has proposed and…