ON-DEMAND WEBINAR The DOL and the SEC are increasingly focusing on rollover recommendations and their impact on investors. The DOL’s PTE 2020-02 expands the definition of fiduciary advice when recommending […]
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ON-DEMAND WEBINAR With Reg BI examinations and enforcement actions expected to increase in 2021, firms are looking to meet the Care Obligation’s requirement of assessing “reasonably available alternatives”. In this […]
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ON-DEMAND WEBINAR With the CFR implementation deadline fast approaching, many firms are looking for practical strategies for meeting the remaining elements of the CFRs. Watch this 60-minute on-demand webinar to […]
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ON-DEMAND WEBINAR With a new SEC Chair sworn in and regulators conducting Regulation BI exams that go beyond ‘good-faith’ efforts, firms will be looking to adjust their practices to meet […]
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The Client Focused Reforms (CFRs) introduces new Know Your Product (KYP) provisions for investment dealers and their representatives. In a recent wealth management industry survey, we found that the KYP […]
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It has been six months since Reg BI’s best interest standard went into effect. Initially, the regulators required that firms make “good faith” and reasonable efforts to ensure the principles […]
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Given the winds of political change and the SEC’s October 26 roundtable on Regulation Best Interest, regulatory and industry experts from Scopus Financial Group and Celent provide an insightful […]
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The recent pressures of the COVID-19 pandemic, combined with growing investor demand for digital communication, have caused financial industry participants to advocate that the SEC shift the default delivery framework […]
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With Reg BI now in effect, broker-dealers have taken steps to achieve varying degrees of compliance. While there has been ample time and regulatory guidance to mitigate implementation challenges, sustained […]
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Broker-dealers have known about the pending Reg BI deadline since June 2019. While the Coronavirus pandemic and pending Reg BI lawsuits have created speed bumps, the main question remains: How […]
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