Image

SEC spells out new advice rules around retail investment products

Pablo Conde, 23 May 2018

The US Securities & Exchange Commission (SEC) will seek cohesion across the spectrum of investment professionals and products, and promote regulatory harmonization with the US Financial Regulatory Authority (Finra) in relation to Regulation Best Interest, the new rulemaking package relating to the standards of conduct for investment professionals which was put out at the end of April for a 90 day comment period ending on August 7.

The full story is only available to registered users and subscribers.

Sign Up now for access to our news and data.

Sign Up