Oyster Stew - A Broth of Financial Services Commentary and Insights
Oyster Consulting
185 episodes
1 month ago
In Part 2 of this Oyster Stew conversation, Ed Wegener continues the discussion with compliance experts Brent Nicks and Len Derus—this time focusing on the most pressing challenges firms face in applying Reg BI and fiduciary duty in practice: documentation, compensation conflicts, and rollover recommendations. What You'll Learn in Part 2 Documentation Expectations: When to document recommendations—and when not to—including product complexity, costs, and client-specific factors.Supervisory Ove...
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In Part 2 of this Oyster Stew conversation, Ed Wegener continues the discussion with compliance experts Brent Nicks and Len Derus—this time focusing on the most pressing challenges firms face in applying Reg BI and fiduciary duty in practice: documentation, compensation conflicts, and rollover recommendations. What You'll Learn in Part 2 Documentation Expectations: When to document recommendations—and when not to—including product complexity, costs, and client-specific factors.Supervisory Ove...
Beyond the Rulebook: Practical Insights on Reg BI and Fiduciary Duty
Oyster Stew - A Broth of Financial Services Commentary and Insights
22 minutes
2 months ago
Beyond the Rulebook: Practical Insights on Reg BI and Fiduciary Duty
While the core principles of Reg BI and investment advisor fiduciary duty remain consistent, regulatory expectations continue to evolve through examinations, enforcement actions, and formal guidance. In Part 1 of this conversation, our experts explore the foundational similarities and differences between Reg BI and fiduciary duty, unpack how regulators are sharpening their focus on documentation, conflicts of interest, and the firm-level processes that shape recommendations. Oyster Consultin...
Oyster Stew - A Broth of Financial Services Commentary and Insights
In Part 2 of this Oyster Stew conversation, Ed Wegener continues the discussion with compliance experts Brent Nicks and Len Derus—this time focusing on the most pressing challenges firms face in applying Reg BI and fiduciary duty in practice: documentation, compensation conflicts, and rollover recommendations. What You'll Learn in Part 2 Documentation Expectations: When to document recommendations—and when not to—including product complexity, costs, and client-specific factors.Supervisory Ove...
