|Monday, April 25, 2022|
Partner Christine Lombardo will speak on the PLI program, Fiduciary Investment Advice and the Evolving Retail Investor Landscape 2022. The panelists will discuss topics such as: the SEC’s intention to enforce recently adopted rules imposing a heightened standard of conduct on broker-dealers, state securities regulators’ review of these new rules and possible additional steps to be taken at the state level, state insurance regulators’ efforts to advance standard of conduct rules applying to insurance professionals, the DOL’s intention to advance new guidance for when someone becomes an investment advice fiduciary, the SEC and other securities regulators’ response to the changes in the retail investing landscape, how the SEC’s Division of Examinations will assess compliance with Regulation Best Interest in 2022, whether the SEC’s request for comment on digital engagement practices will lead to any new digital rules, whether state securities regulators will adopt a fiduciary framework applying to broker-dealers and whether the SEC will regulate payment for order flows.
This half-day program will provide attendees with a solid foundation for compliance with recently adopted SEC rules, and emerging state regulations concerning fiduciary investment advice and the changing landscape of retail investment.
CLE credit: Visit event website for CLE details.