Why You Should Attend
The legal framework applying to fiduciary investment advice is undergoing a sea change. The DOL has finalized rulemaking that is dramatically changing the regulatory framework establishing fiduciary duties and obligations for broker-dealers, advisors and service providers in the retirement marketplace. At the same time, the SEC continues to advance its consideration of whether to subject broker-dealers and advisers to a harmonized uniform standard of care. While the regulatory framework takes shape, regulators are subjecting regulatory entities to intense scrutiny regarding firms’ identification, disclosure and mitigation of conflicts of interest. In this program, we review the respective frameworks and discuss practical considerations for navigating the regulatory maze.
What You Will Learn
• The legal framework applying to fiduciary investment advice
• Practical implementation Issues related to the DOL’s fiduciary rule
• The SEC’s efforts to implement a uniform standard of care applying to broker-dealers and advisors
• Regulatory expectations with respect to establishing a conflicts of interest program.
• Current litigation and enforcement
Who Should Attend
Attorneys and other professionals involved in securities, corporate, banking and finance, and insurance law; in-house counsel and compliance professionals, financial advisors, bankers and accountants; and those employed in supervisory positions throughout the financial services industry.
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