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.
- 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