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Regulation of Advisers (Part I): Attracting Clients and Establishing the Adviser-Client Relationship

Recorded on: Jul. 18, 2013
Running Time: 01:00:14

Full Transcript:


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Taken from the Web Program Fundamentals of Investment Adviser Regulation 2013 recorded July, 2013 in New York.

Lecture Topics  [01:00:14]

Regulation of Advisers (Part I): Attracting Clients and Establishing the Adviser-Client Relationship  [01:00:14]
  • The Advisers fiduciary duty; Conflicts of interest
  • Referral arrangements
  • Investment restrictions
  • Advertising
  • Custody
The purchase price of this segment includes the following article from the Course Handbook available online:
  • Regulation of Advisers (Part I): Attracting Clients and Establishing the Adviser-Client Relationship (July 17, 2013)
    John L. Bronson, Kay A. Gordon
  • Regulation of Advisers (Part 1): Attracting Clients and Establishing the Adviser-Client Relationship (July 17, 2013) (Powerpoint Slides)
    John L. Bronson, Kay A. Gordon

Presentation Material

  • Regulation of Advisers (Part I): Attracting Clients and Establishing the Adviser-Client Relationship
    John L. Bronson, Kay A. Gordon
Speaker(s)
John L. Bronson ~ U.S. Businesses Regulatory Counsel, Prudential Financial
Kay A. Gordon ~ Drinker Biddle & Reath LLP
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