Expected to apply to “all New Jersey investment professionals.” More to come.
Join industry leaders for a 60-minute webinar on Thursday, October 4, 2018 at 11 a.m. (EDT) to discuss the potential impact of the SEC’s Best Interest Proposals on the fund industry. Topics will include:
- Overview of the Proposals, Including Regulation Best Interest
- Key Themes in the Comment Letters
- Impact on Fund Distributors, Dealers and Funds, including Non-Cash Compensation and Other Distribution Practices
- Evolving Process and Future Suitability Concerns
Helen E. Rizos, Senior Vice President & Deputy General Counsel, Fidelity Investments
Sarah A. Bessin, Associate General Counsel, Investment Company Institute
David W. Grim, Partner, Stradley Ronon, Former Director of the U.S. SEC’s Division of Investment Management
Lawrence P. Stadulis, Partner & Co-Chair, Fiduciary Governance, Stradley Ronon
A group of investor advocacy organizations is calling on the Securities and Exchange Commission to significantly revise its adviser customer relationship summary form requirements within its broader Regulation Best Interest proposal.
Wellington Management provides some interesting insights on the ascendancy of China A-Shares and how investors should be thinking about them. Fiduciaries may wish to consider my detailed ERISA analysis on the Shanghai-Hong Kong Stock Connect.