The coronavirus has left the regulatory world with one question: How will regulators oversee financial institutions now – and in the future?
In this special report, we explore the topics impacting institutions, advisers, and practitioners as June 30, 2020 marked the activation of the U.S. Securities and Exchange Commission’s new standards of conduct and Regulation Best Interest (Reg BI).
Key analyses and Practical Guidance content such as overviews and checklists will help your business and clients navigate the regulatory landscape, adopt effective measures, and prepare a long-term compliance plan.
Download your free copy to hear from our experts on the following areas:
- Challenges to regulatory oversight and regulator responsibilities due to remote work and perspectives divided along party lines – Democratic and Republican commissioners
- Comprehensive Risk Alert and related guidance and compliance with the Disclosure and Care Obligation checklist
- SEC Advice Package overview and related FAQs
- SEC’s standards package main components: Reg BI and Forms CRS and exploration of firm readiness and consistency in the regulatory model
Bloomberg Law – regulatory tracking for effective strategy.