Understanding SEC’s 2024 Exam Priorities & Enforcement Agenda

The SEC recently published its 2024 exam priorities, highlighting key examination and compliance priorities as it relates to many areas, including Regulation Best Interest and Investment Advisors. Later in the fall, the SEC’s enforcement branch reported 784 actions, with nearly $5 billion in fines, painting a clear need for action for the 2024 year.
Our foremost experts from Alphastar Capital, Bates Group, Docupace and Scopus Financial Group discuss:
* Convergence of best interest principles across Reg BI and DOL’s Fiduciary requirements,
* Processes for determining the investment advice is provided in clients’ best interest, and
* How and When technology can be a key asset in considering reasonably available alternatives (RAA) products, account type and rollover recommendations.