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2019 SIFMA C&L Charlotte Regional Seminar

Friday, September 27, 2019

Investment Management partner John Ayanian represented Morgan Lewis at the SIFMA Compliance & Legal Society Regional Seminar in Charlotte.  The conference, hosted by the Securities Industry and Financial Market Markets Association (SIFMA), was a one-day seminar featuring presentations by leading securities regulators and industry professionals.

John participated in the “Private Client Issues” panel along with, among others, lawyers from Bank of America Corporation, LPL Financial LLC and Raymond James Financial, Inc. The panel discussed recent regulatory changes for broker-dealers and their associated persons regarding the standard of conduct for Regulation Best Interest (“BI) recently released by the SEC effective on September 10, 2019 and a compliance date of June 30, 2020.