Speaking Engagement Recap
December 03, 2020
Best Interest Standard of Care for Advisors and DOL Final Rule on ESG Funds
In a sweeping presentation to the American Society of Pension Professionals & Actuaries (ASPPA), Joan Neri discussed the Securities and Exchange Commission’s (SEC) best interest standard of conduct for advisors under Reg BI and RIA guidelines. She also covered key Department of Labor (DOL) developments, from the recently proposed Prohibited Transaction to the proposed final rule on Environmental, Social and Corporate Governance (ESG) funds.