Committee
Investment Adviser and Broker-Dealer Standards of Conduct Working Group
ICI’s working group on investment adviser and broker-dealer standards of conduct (“Standards of Conduct Working Group”) provides a forum for ICI members to discuss issues raised by application of the SEC’s standards of conduct for broker-dealers and investment advisers, including Reg BI, Form CRS, and the fiduciary duty standard. The Standards of Conduct Working Group also provides a forum to discuss related issues including developments regarding state law standards of conduct.
Working Group Meetings
The Standards of Conduct Working Group currently holds periodic conference calls and provides memos and other information to participants.
Membership Information
There are no limitations on the number of representatives that member firms may have on the Working Group.
