Investment Management Counsel Participates as a Panelist on IA Watch Webinar on SEC Conduct Standard Proposals

Practices: Investment Management, Investment Management Compliance, Investment Advisers

On May 15, Ropes & Gray investment management counsel David Tittsworth will participate as a panelist on an IA Watch Webinar titled “The SEC’s Three Fiduciary Duty-related Proposals: A Framework that Threatens to Transform How IAs and BDs Do Business.”

The panel will discuss the SEC’s three proposals – Reg Best Interest, Form CRS and an interpretation of the IA fiduciary duty standard, and will consider:

  • Where the lines are drawn on compensation structures in proposed Regulation Best Interest
  • What types of common industry practices would have to end
  • Why advisers may need to prepare for mandatory licensing and financial standards
  • How the confines of Form CRS will challenge even the most transparent firms
  • Tips tied to the compliance officer’s role in ensuring adherence to new standards
  • How the proposals may not offer the industry as much flexibility as some believe
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