Are you and your firm keeping up with the latest regulatory changes stemming from the SEC and the Department of Labor’s best interest principles?
Download this webinar, hosted with our partners at InvestorCOM, to learn about the convergence of best interest principles across these regulatory bodies. Our industry experts will discuss:
- Reg BI and DOL’s best interest principles surrounding investment recommendations, and what it means for financial professionals, advisors, and investors.
- Review of regulatory guidance, including recent enforcement cases.
- What you can expect to see on the regulatory agenda.
- Monitoring best interest rollover and account recommendations.
Please note: IACCP credits were offered for this webinar. Credits are not available for watching the recording.
