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News June 24, 2019 Issue

SEC Adviser Fiduciary Interpretation: Review Disclosures, Contracts and More

Now that the dust is settling following the SECís adoption of its Standards of Care Package, advisers and broker-dealers are looking over the parts that affect them the most. For advisers, the Commissionís interpretation and clarification of their fiduciary duty may be the first thing they look at. While the interpretation does not appear to contain any earthshaking changes, it does make some, while clarifying what it sees as important. Advisers would be wise to review the interpretation to get a better handle on what the agency wants to see.

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