How the DOL Fiduciary Proposal Impacts the Compliance Landscape for Broker-Dealers
Join the Baker McKenzie Financial Regulation and Enforcement Team, in partnership with FSI, as we discuss the recent Department of Labor (DOL) rulemaking in the context of other current obligations. Firms, in particular, should consider how the DOL’s latest rulemaking impacts compliance with the U.S. Securities and Exchange Commission’s Regulation Best Interest (Reg BI), as well as the Massachusetts fiduciary rule.
In this program, we will discuss the DOL’s rulemaking, latest developments in Reg BI compliance and examinations, the Massachusetts Fiduciary Rule, and look ahead to what we expect in 2021.
Partner, New York
Director of Federal Regulatory Affairs & Senior Counsel
Financial Services Institute