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Regulatory Requirements › Conflicts of Interest › Policies and Procedures

Bradley Arant Boult Cummings LLP

SEC Targets Broker-Dealers for Reg BI Violations

Bradley Arant Boult Cummings LLP on

On August 11, 2025, the U.S. Securities and Exchange Commission (SEC) brought two settled administrative proceedings against a broker-dealer and one of its registered representatives for violations of Regulation Best Interest...more

Hogan Lovells

SEC grants no action relief from paragraph (a)(3)(iii) of Rule 192

Hogan Lovells on

The Securities and Exchange Commission has issued a no-action relief letter regarding paragraph (a)(3)(iii) of Rule 192 under the Securities Act of 1933, as amended. Rule 192, finalized in January 2024, implements Section 621...more

Proskauer - Regulatory & Compliance

FCA’s Private Market Valuations Review – Good Practice but Room for Improvement

Proskauer - Regulatory & Compliance on

On 5 March 2025, the United Kingdom’s Financial Conduct Authority (“FCA”) published the findings of its multi-firm review of valuation processes for private market assets (the “Review”).  The Review covered a firms operating...more

Seyfarth Shaw LLP

Six Essential Tips for Identifying and Avoiding Conflicts of Interest in Government Contracting

Seyfarth Shaw LLP on

In celebration of the release of the 6th Edition of the Government Contracts Compliance Handbook, we are sharing six critical tips to help government contractors identify and avoid conflicts of interest. For contractors...more

Rumberger | Kirk

Minimizing Liability Under the SEC’s Reg-BI

Rumberger | Kirk on

Litigation Risks Posed by the SEC’s Regulation Best Interest - Pete Tepley and Meredith Lees highlight litigation risks posed by the SEC’s Regulation Best Interest (Reg-BI), litigation risks that may arise from Reg-BI’s...more

Health Care Compliance Association (HCCA)

[Event] March Basic Compliance & Ethics Academy - March 2nd - 5th, San Diego, CA

Health Care Compliance Association (HCCA) on

HCCA's Basic Compliance Academy is a three-and-a-half-day intensive training program focusing on subject areas at the heart of health care compliance practice. Its faculty is made up of experts in the field. Courses are...more

Faegre Drinker Biddle & Reath LLP

SEC Proposes Wide-Ranging Changes to Investment Adviser Marketing Rules

Faegre Drinker Biddle & Reath LLP on

On November 4, 2019, the Securities and Exchange Commission (SEC) released a proposed rule amendment (the Marketing Amendment) that would substantially modify SEC Rules 206(4)-1 (the Advertising Rule) and 206(4)-3 (the...more

Faegre Drinker Biddle & Reath LLP

Best Interest Standard of Care for Advisors #11

Faegre Drinker Biddle & Reath LLP on

Regulation Best Interest: An Overview of the Requirements - The SEC has issued its final Regulation Best Interest (Reg BI), Form CRS Regulation, RIA Interpretation and Solely Incidental Interpretation. I am discussing the...more

Orrick, Herrington & Sutcliffe LLP

The SEC’s Reg BI – A Completely New Standard or Tinkering Around the Edges?

Orrick, Herrington & Sutcliffe LLP on

Last week, the Securities and Exchange Commission (SEC) voted to adopt what is popularly known as “Regulation Best Interest” (often referred to as “Reg BI”). Notwithstanding the name, Reg BI is actually a package of...more

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