Tag Archives: Reg BI

Are Trading-Error Gains Creating an Undisclosed Conflict for Broker-Dealers and RIAs?

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Key Question When correcting a trade error results in a gain, may a broker-dealer or registered investment adviser retain the gain, or should it be credited to the affected client … Continue reading Are Trading-Error Gains Creating an Undisclosed Conflict for Broker-Dealers and RIAs? →

Regulation Best Interest, Family Offices, and Hypothetical Projections: Why “Institutional” Assets Do Not Mean Institutional Treatment

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Executive Summary Family offices often operate at an institutional scale and regularly engage both broker-dealers and registered investment advisers (“RIAs”). This dual engagement can create compliance blind spots, especially when … Continue reading Regulation Best Interest, Family Offices, and Hypothetical Projections: Why “Institutional” Assets Do Not Mean Institutional Treatment →