The U.S. Securities and Exchange Commission (SEC) recently released the staff bulletin Standards of Conduct for Broker-Dealers and Investment Adviser Conflicts of Interest to reiterate the required standards and obligations for broker-dealers under Regulation Best Interest (Reg BI) and for investment advisers the fiduciary duty standards under the Investment Advisers Act of 1940.
- Products
- Solutions
- Compliance Oversight
- Communications Compliance
- Market Abuse Regulation
- ESG Compliance
- Senior Managers Certification Regime
- Conduct Risk
- Control Room Compliance
- Pay-to-Play Compliance
- Conflict of Interest Management
- Crypto Compliance
- Small Firm Compliance
- Corporate Compliance
- Anti-Bribery and Corruption
- Compliance Program Management
- Education Center
- About Us
