Regulation Best Interest: Potential Areas for Compliance Focus
Автор: Salem Center for Policy
Загружено: 2020-05-29
Просмотров: 67
Описание:
Areas where compliance officers and staff at investment advisers, securities brokers, and wealth managers may experience challenges in understanding and applying the new rules.
Moderator – Jay Baris, Partner, Shearman & Sterling
• James Anderson, Partner, Willkie Farr & Gallagher
• Tom Selman, EVP Regulatory Policy, FINRA
• David Peavler, Director of Fort Worth Regional Office, SEC
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