Regulation Best Interest Meets Opaque Practices

The past 10 years has led to evolving conflicts of interest among broker-dealers selling mutual funds and a shifting regulatory backdrop. In this paper, we examine increasingly common conflicts of interest – embedded into popular share classes and revenue-sharing practices – that are often opaque and harder to evaluate than traditional conflicts.


In this report, you will learn:
  • The variety of revenue-sharing practices and the degree to which they create a conflict of interest;
  • How Regulation Best Interest strengthened the standard of conduct for brokers
  • How this regulation is likely to affect revenue-sharing practices.
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