Asset Management Regulatory Update: Reg BI, Form CRS, and SEC’s Fiduciary Duty Interpretation
Sep 19, 2019•18 min
Listen to this episode in Metacast mobile app
Don't just listen to podcasts. Learn from them with transcripts, summaries, and chapters for every episode. Skim, search, and bookmark insights. Learn more
Episode description
In this Ropes & Gray podcast, asset management counsel Brynn Rail and David Tittsworth discuss the SEC’s new rules and interpretations that deal with standards of conduct for brokers and investment advisers. Specifically, they cover the topics of Regulation Best Interest (Reg BI), Form Customer Relationship Summary (Form CRS), and the SEC’s fiduciary duty interpretation under the Advisers Act.
For the best experience, listen in Metacast app for iOS or Android