What Lies Ahead for RIAs: The DOL and SEC Regulatory Landscape

With the change in administration, regulatory agencies likely will scrutinize regulations and guidance, and take action to propose new and modified regulations. A panel of attorneys from Faegre Drinker’s Best Interest Compliance team engaged in a lively discussion of what’s ahead for RIAs including:

• The DOL expanded definition of fiduciary advice
• The DOL prohibited transaction exemption for conflicted advice
• The DOL rule on selecting funds that use environmental, social and governance factors (ESG funds)
• Compliance with Reg BI and the RIA Interpretation
• The DOL proxy voting rule
• Missing participant guidance

Questions? Please contact Heather Sanders or call +1 215 988 1127.