A Glimpse at the 2019 GMM Speaker Lineup

A Glimpse at the 2019 GMM Speaker Lineup

NICSA’s General Membership Meeting will take place October 17-18, 2019 at the Royal Sonesta in Boston. NICSA is bringing together an impressive line-up of innovative leaders to discuss timely themes facing the global asset management industry and the business response to those issues. Here’s a sneak peek at the firms taking center stage at the…

Understanding Regulation Best Interest

Understanding Regulation Best Interest

In June, the SEC voted to adopt a package of rules and interpretations designed to increase the quality and transparency of retail investors’ relationships with financial professionals. These directives included the Regulation Best Interest (Reg BI) rule, the Form CRS Relationship Summary, and two distinct interpretations under the Investment Advisers Act of 1940. During a…

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