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Financial Professional Standards

The Securities and Exchange Commission (SEC) formally adopted four regulatory measures intended to enhance the protection of retail investors while preserving existing investment industry business models and the ability of investors to choose among different types of providers. Specifically, the SEC adopted: (1) new Regulation Best Interest; (2) new Form CRS; (3) an interpretation of an investment adviser’s fiduciary duties; and (4) an interpretation of the “solely incidental” prong of the broker-dealer exclusion from the definition of an “investment adviser” under the Investment Advisers Act of 1940. The materials on this webpage include, among other things, our detailed analyses of each of the above items.

Thought Leadership

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28 June 2022
What the C-Suite and Board Should Know About the New CCO Certification Requirement from DOJ
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9 May 2022
New Mental Health Obligations for all Victorian Employers Expected to Take Effect on 1 July 2022
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20 January 2021
The SEC's Modernized Marketing Rule for Investment Advisers
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28 June 2022
Litigation Minute: Has the Supreme Court Left ESG Class Actions a Leg to Stand On?
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