Regulation Best Interest: Potential Areas for Compliance Focus

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dc.creatorBaris, Jay
dc.creatorAnderson, James
dc.creatorSelman, Tom
dc.creatorPeavler, David
dc.date.accessioned2022-02-22T18:55:51Z
dc.date.available2022-02-22T18:55:51Z
dc.date.issued2020-05-29
dc.descriptionAreas 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, SECen_US
dc.description.departmentSalem Centeren_US
dc.identifier.urihttps://hdl.handle.net/2152/100571
dc.identifier.urihttp://dx.doi.org/10.26153/tsw/27486
dc.language.isoengen_US
dc.publisherSalem Centeren_US
dc.relation.ispartofSalem Centeren_US
dc.rights.restrictionOpenen_US
dc.subjectregulationen_US
dc.subjectbest interesten_US
dc.subjectinvestment adviseren_US
dc.subjectsecurity brokeren_US
dc.subjectwealth manageren_US
dc.titleRegulation Best Interest: Potential Areas for Compliance Focusen_US
dc.typeVideoen_US

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