An Overview of Standards of Conduct in the Financial Services Industry

[Originally broadcast on January 30, 2020]

Description: Join members of the RegEd Regulatory Affairs team for the first installment of our new webinar series as they review the current trends and hot topics surrounding regulation in the financial services industry.

This webinar highlights the enduring trend of regulators focusing on establishing standards of conduct intended to preserve the best interest of investors, increase transparency in the advisor/client relationship, and clarify fiduciary responsibilities. We’ll provide an overview of some of the recent touchstone rules and regulations in this area, which will impact financial services firms and advisors in the new year.

Some of the topics covered include:

  • SEC Regulation Best Interest
  • NY Regulation 187
  • The NAIC’s Annuity Suitability Model Draft
  • State-level Standard of Care Measures

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