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A Look Inside the SEC's Final RIA Guidance and Its Discussion of 'Best Interest'
Drinker Biddle 
[Guidance Overview] Oct. 8, 2019 "The RIA Guidance is the most significant Commission pronouncement on the fiduciary duties of an investment adviser ever finalized and published by the SEC. For this reason, investment advisory firms should scrutinize and analyze the Guidance, apply it to their firm, and quickly remediate any issues with enhanced practices, policies, and procedures. Indeed, unlike Reg BI and Form CRS that have an implementation date of June 30, 2020, the RIA Guidance became effective on July 12, 2019." MORE >> |
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