September 23, 2020

2020 CEFLI Annual Conference


Partner Jim Lundy will be moderating a panel at the 2020 CEFLI Annual Conference on “Regulatory Review: SEC Regulation Best Interest.” The SEC’s Regulation Best Interest became effective on June 30, 2020 and represents a new paradigm for the distribution of securities products to retail customers. Compliance professionals have dedicated significant resources over the past several months to developing new compliance strategies to comply with the requirements of Regulation Best Interest. In the coming months, regulatory authorities will begin to conduct examinations to verify firm compliance with Regulation Best Interest. What can companies do to prepare for these examination activities? You will hear from a panel of regulators and company representatives who will discuss how companies can support compliance with Regulation Best Interest in a new examination environment.

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