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Fiduciary Investment Advice 2019

Practising Law Institute

Apr. 2, 2019
Recorded Online

The legal framework applying to fiduciary investment advice is undergoing a sea change. 2019 is seeing a patchwork of regulations emerging that is dramatically changing the regulatory framework establishing fiduciary and best interest duties and obligations for broker-dealers and advisers.

The U.S. Securities and Exchange Commission is advancing rulemaking which would establish a best interest standard of conduct for broker-dealers when making a recommendation of any securities transaction or investment strategy involving securities to a retail customer. At the same time, several states are moving forward through legislation and regulations which would impose a fiduciary duty on broker-dealers operating in their state.  

Adding to the emerging fiduciary and best interests patchwork are regulations that are being put in place by state insurance regulators including NYDFS and the NAIC. The DOL has also indicated that they will re-engage in some sort of rulemaking later in 2019.  Other important bodies, such as the CFP board have advanced their own rules.  

What you will learn:

  • The legal framework applying to fiduciary investment advice
  • The SEC’s efforts to implement a uniform standard of care applying to broker-dealers and advisers
  • The impact of State Securities Regulations imposing a fiduciary duty on broker-dealers
  • State Insurance Regulations that will apply to broker-dealer sales of insurance products

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