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SEC Rules and Interpretations Related to Fiduciary Duty and Standards of Conduct

September 2019
Listen to Recording (CLE/CPD Credit Available)

This webinar explores the U.S. Securities and Exchange Commission’s (“SEC”) new package of rules and interpretations. Specifically, the SEC package includes: 

  • An interpretation of the fiduciary duty that investment advisers owe to their clients under the Investment Advisers Act of 1940, as amended (the “Advisers Act”);
  • A new Regulation Best Interest;
  • A new Form CRS relationship summary; and 
  • An interpretation of the ‘solely incidental’ prong of the broker-dealer exclusion under the Advisers Act.

The new package is expected to affect large segments of the asset management industry. The expert panelists will discuss the practical effects of these changes in terms of compliance, costs, and the distribution of investment products.


  • Richard F. Kerr, Partner, K&L Gates LLP
  • Pablo J. Man, Partner, K&L Gates LLP
  • Eden L. Rohrer, Partner, K&L Gates LLP