SIFMA Regulation Best Interest Seminar

SIFMA Regulation Best Interest Seminar

Speaking Engagement

On July 10, the Securities Industry and Financial Markets Association (SIFMA) will host an in-depth, half-day seminar and webcast to discuss the US Securities and Exchange Commission's (SEC) final Regulation Best Interest. The program’s featured speakers will include WilmerHale Partners Amy Doberman, Stephanie Nicolas and Yoon-Young Lee, as well as the Honorable Hester M. Pierce and the SEC's Dalia Blass and Brett Redfearn. The afternoon program will feature a keynote address, opening remarks by SIFMA CEO Ken Bentsen, a conversation with SIFMA General Counsel Ira Hammerman and panels of practitioners providing insight on:

  • Regulation Best Interest
  • Form CRS
  • SEC Guidance on Investment Advisers’ Fiduciary Duty and the “Solely Incidental” Prong under the Advisers Act
  • What’s Next? (including state-level fiduciary proposals, US Department of Labor action and more)

Ms. Nicolas will moderate the Regulation Best Interest panel, Ms. Doberman will moderate the Form CRS and Investment Advisers panel, and Ms. Lee will moderate a fireside chat with the Ms. Blass and Mr. Redfearn. 


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