Standards of Conduct; Marketing and Advertising; Trading Activity

Recorded on: Jul. 24, 2012

Running Time: 01:01:41

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Taken from the Web Program Fundamentals of Investment Adviser Regulation recorded July, 2012 in New York.

Lecture Topics [01:01:41]

Standards of Conduct; Marketing and Advertising; Trading Activity [01:01:41]

The advisers fiduciary duty
An overview of the Advisers Act’s Business Practices Rules
The rules governing adviser advertising
Principal and agency trades

The purchase price of this segment includes the following article from the Course Handbook available online:

Standards of Conduct; Marketing and Advertising; Trading Activity
Kay A. Gordon
Standards of Conduct; Marketing and Advertising; Trading Activity (PowerPoint Slides)
Kay A. Gordon

Presentation Material

Standards of Conduct; Marketing and Advertising; Trading Activity
Kay A. Gordon

Speaker(s)

Kay A. Gordon ~ K&L Gates LLP

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Standards of Conduct; Marketing and Advertising; Trading Activity

Full Transcript:

Transcripts of selected programs may be accessed by Privileged Members. If you are a member, please log in. If you are not a member, please consider having your firm join. Or become an Individual Member.

To access the streaming media of this presentation, please purchase the corresponding seminar segment.


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