Regulation Best Interest: Potential Areas for Compliance Focus
Date
2020-05-29
Authors
Baris, Jay
Anderson, James
Selman, Tom
Peavler, David
Journal Title
Journal ISSN
Volume Title
Publisher
Salem Center
Abstract
Department
Description
Areas where compliance officers and staff at investment advisers, securities brokers, and wealth managers may experience challenges in understanding and applying the new rules.
Moderator – Jay Baris, Partner, Shearman & Sterling
• James Anderson, Partner, Willkie Farr & Gallagher
• Tom Selman, EVP Regulatory Policy, FINRA
• David Peavler, Director of Fort Worth Regional Office, SEC