Blog FinReg + Policy Watch October 03, 2022

BD and IA Conflicts of Interest: SEC Staff Says Don’t Set It (Them) and Forget It (Them)

Our recent client alert discusses a recent SEC staff bulletin covering the standards of conduct for broker-dealer and investment adviser conflicts of interest. The staff bulletin includes 13 Q&As categorized into five different flavors relating to identifying, eliminating, mitigating, and disclosing conflicts of interest, as well as related to product menus.

The post BD and IA Conflicts of Interest: SEC Staff Says Don’t Set It (Them) and Forget It (Them) appeared first on FinReg + Policy Watch.