Understanding Regulation Best Interest

Recorded On: 08/13/2019

This webinar will discuss the adoption of Regulation Best Interest (Reg BI) and its effect on broker-dealers, investment advisors, and asset managers. Our panel of experts will explain the implications and will provide practical steps that industry participants can take to ensure compliance with Reg BI.

Jeff Cook

Director of Regulatory Compliance, DST Systems

Chad Fleck

Vice President Compliance, Fidelity Investments

Jay Herold

Vice President and Sr. Counsel

MFS

Jay C. Herold is a vice president and senior counsel at MFS Investment Management® (MFS®). In his role, he is responsible for providing legal counsel in the areas of mutual fund distribution and broker/dealer regulation. He regularly advises key personnel on fund distributor and transfer agent issues for US registered investment companies and UCITS funds.

Jay joined MFS in 2013. He previously spent nine years at Fidelity Investments serving in various roles, including most recently as senior legal counsel supporting Fidelity’s outside mutual fund distribution platform.

Jay earned a Bachelor of Science degree from Emerson College and a Juris Doctor degree from St. Thomas University.