8b. ALL – Standards of Care (Intermediate)

This session will examine the current regulatory interpretation of the Standard of Care for financial services firms including, broker-dealers, hedge funds, investment advisers, investment companies, and private equity firms.

Learning Objectives:

  • Understand a fiduciary standard of care
  • Review the requirements of Regulation Best Interest (Reg BI)
  • Analyze the principles underlying standard of care, including what is meant by ?best interest,? disclosure obligations, loyalty, conflict management, and fair dealing
  • Discuss nuances of the current day interpretation to industry practice


Sponsored by:

Intermediate                        Program Level: Date: October 20, 2020 Time: 3:45 pm - 5:00 pm Richard Marshall Alice Palmer

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