The SEC’s Three Fiduciary Duty-Related Proposals

The SEC’s Three Fiduciary Duty-Related Proposals
A Framework that Threatens to Transform How Investment Advisers and Broker-Dealers Do Business

Quick Overview

The SEC’s Three Fiduciary Duty-Related Proposals features best practices and advice from your peers and industry experts. Included are 9 best practices, 3 peer-tested tools, a 60-minute audio webinar and transcript and the 3 proposed fiduciary duty-related proposals.

Availability: In stock

Pubcode: ARGFIDDUTY18
Price: $145.00

The SEC’s Three Fiduciary Duty-Related Proposals

It may have been decades in the making, but the SEC has now advanced a trio of proposals—Regulation Best Interest, Form CRS, and an interpretation of the IA fiduciary standard—that form a package designed to balance competing business models and help investors differentiate between investment advisers and broker-dealers. 

That’s why IA Watch has published The SEC’s Three Fiduciary Duty-Related Proposals: A Framework that Threatens to Transform How Investment Advisers and Broker-Dealers Do Business.

Included in the handbook and its companion CD are:

✓ 9 Best Practices and Guidance on the fiduciary duty proposals

✓ 3 mockups of proposed disclosures from an IA, BD and dual-registrant.

✓ A 60-minute audio webinar on the topic with a transcript

✓ 3 proposed fiduciary duty-related proposals


The SEC’s Three Fiduciary Duty-Related Proposals
is published by IA Watch and BD Watch, compliance services of Regulatory Compliance Watch, the industry’s most respected online compliance service that thousands of your peers rely on for investment adviser, broker-dealer, CPO/CTA and private fund compliance guidance. RCW delivers up-to-the-minute news, exclusive analysis, comprehensive compliance tools you can use and a network of compliance peers standing at the ready to assist you. Find out more at www.regcompliancewatch.com


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