Thu, Dec 12, 2019

Ken Joseph Shares Insights on the SEC’s Impending Regulation Best Interest With Financial Advisor IQ

The implementation date for the SEC's Regulation Best Interest is right around the corner, and broker-dealer firms are expected to be ready. In this Financial Advisor IQ article, Duff & Phelps’ Global Head of Disputes Ken Joseph shares his insights and guidance based on more than 21-years of experience at the SEC.

The SEC has set June 30, 2020 as the compliance deadline for the implementation of Reg BI and believes that is “sufficient time” for firms to comply.  According to Ken, broker-dealer firms should be “well underway” in setting up Reg BI-related systems, policies and procedures, in training retail investor-facing personnel, and in scrutinizing retail products for potential conflicts of interest.

Read the full article here.

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