Beyond the Rulebook: Practical Insights on Reg BI and Fiduciary Duty
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Beyond the Rulebook: Practical Insights on Reg BI and Fiduciary Duty
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While the core principles of Reg BI and investment advisor fiduciary duty remain consistent, regulatory expectations continue to evolve through examinations, enforcement actions, and formal guidance.
In Part 1 of this conversation, our experts explore the foundational similarities and differences between Reg BI and fiduciary duty, unpack how regulators are sharpening their focus on documentation, conflicts of interest, and the firm-level processes that shape recommendations.
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