Wealth Management Compliance: 2020 Regulatory Developments

February 26, 2020

Please join Hunton Andrews Kurth LLP for a CLE program on

Wealth Management Compliance: 2020 Regulatory Developments

Wednesday, February 26, 2020
4:00–5:00 pm CLE
5:00–6:00 pm Networking Reception

Due to popular demand, this program will now be offered live in Miami and via webinar. Please indicate whether you plan to attend in-person in Miami or via webinar on the registration page.

Hunton Andrews Kurth LLP
1111 Brickell Avenue
Suite 2500
Miami, FL 33131

Beginning June 30, 2020, SEC-registered broker-dealers will become subject to Regulation Best Interest, which will require them to act in their clients’ best interests when making an investment recommendation by meeting four core obligations. Additionally, both registered broker-dealers and registered investment advisers will be required to present prospective clients with new Form CRS (Customer/Client Relationship Summary). Finally, broker-dealers and investment advisers must also comply with the SEC’s updated fiduciary interpretations.

Join our moderator, Fernando C. Alonso and speakers Scott Kimpel and Carl Goss, as they cover these topics from the perspective of senior-level compliance officers. In this presentation, they will discuss the SEC’s new rules and provide insights as to how compliance programs can be enhanced. They will also discuss wealth management topics and developments that might be of interest to bankers.

Moderator:

  • Fernando C. Alonso, Partner, Hunton Andrews Kurth

Speakers:

  • Scott H. Kimpel, Partner, Hunton Andrews Kurth
  • Carleton Goss, Counsel, Hunton Andrews Kurth

Hunton Andrews Kurth LLP will seek CLE credit for this program in CA, FL, GA, NC, NY, TX and VA only. Credit hours are not guaranteed and are subject to each state’s approval rules.

Questions? Please contact Carolina Guerra Perez at cguerraperez@HuntonAK.com.

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