The What, the Why, and What’s Next: Regulation Best Interest

Available on-demand

Brokers have been caught in the middle of a major policy fight over the past 10 years, as lawmakers debate whether they should have a fiduciary duty to their clients, follow a different standard of conduct, or simply stick with the existing suitability rules. In this webinar, Aron Szapiro, director of policy research, Jasmin Sethi, associate director of policy research, Lia Mitchell, senior policy analyst, and Peter Franco, senior product manager, will share a breakdown of what brokers and their representatives should know about Regulation Best Interest, and new research on the range of conflicts of interest the rule may affect.

Attendees will also learn how Morningstar can support firms in providing answers to questions like:

What kinds of conflicts might need to be mitigated to comply with the standards?
How can brokers demonstrate they are acting in their clients best interest?
What are the options for demonstrating that a rollover recommendation meets the new standards?

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