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SEC Standards of Conduct: Navigating New Requirements for Retail Advice Disclosures

Morgan Lewis

Sept. 10, 2019
Recorded Online

Join us for a focused discussion of new and enhanced disclosure requirements for retail advice under the Securities and Exchange Commission's Form CRS, Regulation Best Interest, the Interpretation of the Standard of Conduct for Investment Advisers, and the Certified Financial Planners Board's Standard of Conduct.

Topics Include:

  • Overview of disclosure requirements for broker-dealers and investment advisers
  • How to operationalize a holistic approach to disclosures and where to start
  • Layered disclosure structures
  • Treatment of conflicts of interest
  • Supporting CFP professionals' obligations under the new standards
  • Maintaining consistent disclosures over time


  • Lindsay B. Jackson, Partner, Morgan, Lewis & Bockius LLP
  • Jennifer L. Klass, Partner, Morgan, Lewis & Bockius LLP
  • Daniel R. Kleinman, Partner, Morgan, Lewis & Bockius LLP

More Information, How to Register

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