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Conflicts Of Interest

Identifies, discloses, and mitigates advisor conflicts of interest under Reg BI.

/conflicts-of-interestJoelLewis/finance_skills

More in Legal & compliance

  • Advice StandardsDetermine when a product, platform, or communication crosses the regulatory line from.
  • Anti Money LaunderingGuides BSA/AML compliance design, transaction monitoring, and FinCEN reporting.
  • Books And RecordsGuide the design and maintenance of recordkeeping programs under SEC Rules 17a-3, 17a-4.
  • Client DisclosuresGuide investment adviser and broker-dealer disclosures.
  • Examination ReadinessPrepare for and respond to SEC and FINRA regulatory examinations across the full exam.
  • Fee DisclosureChecks whether fee and cost disclosures are complete, accurate, and not misleading.
  • Fiduciary StandardsApplies investment adviser and ERISA fiduciary duties.
  • Gips ComplianceEnsure firms claiming GIPS compliance under the CFA Institute Global Investment.