Financial Professional Standards Roundtable

17 October 2019


K&L Gates New York
New York, NY
United States of America

K&L Gates’ financial professional standards team will present a roundtable event focused on the recent regulatory measures adopted by the U.S. Securities and Exchange Commission ("SEC"). Any broker-dealer or investment adviser doing business with retail investors faces new and demanding challenges as the SEC's rules come on line. How will they affect business?

The event will involve a deep dive into these topics, including:

  • The effects of Regulation Best Interest on broker-dealer compensation and incentives;
  • Anticipated changes to self-regulatory organization rules, and the possibility of a "post-suitability" world;
  • Handling the new Form CRS, from drafting, to filing, to delivery;
  • The effects of the SEC's fiduciary duty interpretation on investment adviser policies, procedures, and agreements;
  • How broker-dealers and investment advisers are affected by converging standards in their industries, and how those standards impact the handling of customer accounts and the field of investment research; and
  • The challenges of creating conflict disclosures for retail customers for both broker-dealers and investment advisers.
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