Sebastian Sanchez

Sebastian Sanchez

White & Case LLP

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Broker-dealers should be ready for Regulation Best Interest

In light of recent discussions regarding the content and implications of Regulation Best Interest, Securities and Exchange Commission (“SEC”) Chairman Jay Clayton recently stated that broker dealers should be ready for the...more

11/7/2019  /  Broker-Dealer , Compliance , Conflicts of Interest , Disclosure Requirements , Duty of Care , Investor Protection , Registered Investment Advisors , Regulation Best Interest , Retail Investors , Securities and Exchange Commission (SEC)
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