On April 18, the SEC released over 1,000 pages of proposed regulations intended to enhance protections for retail investors, including Proposed Regulation Best Interest. Regulation Best Interest would require a broker-dealer to discharge its duty to act in the best interest of the retail customer through compliance with three specific obligations: (1) disclosure obligations; (2) care obligations; and (3) conflict of interest obligations.
Join the Structured Products Association and Mayer Brown on Monday, April 30 for a conference call briefing participants on the SEC’s Proposed Regulation Best Interest. The discussion will include:
- The comment period and timing of the rule;
- The implications of the proposed rule on structured and market-linked investments; and
- Potential next steps for firms marketing structured investments.
Date & Time
April 30, 2018
5:00 p.m. – 5:45 p.m.
Speakers:
Keith Styrcula, Structured Products Association
Anna Pinedo, Mayer Brown
To register, or for more information about this teleconference, please contact Trevor Starer at tstarer@mayerbrown.com or +1 212 506 2785.
Related Capabilities
Events
-
July 172019
-
June 112019