4-Hour Program

See Credit Details Below

Overview

Why You Should Attend

The regulatory framework applying to the standard of conduct related to personalized financial advice continues to be in flux. DOL is actively reconsidering its rulemaking that dramatically changes the regulatory framework establishing fiduciary duties and obligations for broker-dealers, advisers and service providers in the retirement marketplace. At the same time, the SEC is reported to be advancing internally its consideration of whether to subject broker-dealers and advisers to a harmonized uniform standard of care. While the regulatory framework continues to take 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 fiduciary duty applying to investment advisers under the Advisers Act
  • The SEC’s efforts to implement a uniform standard of care applying to broker-dealers and advisers
  • Regulatory expectations with respect to conflicts of interest.
  • The DOL’s fiduciary duty rulemaking
  • Current litigation and exam focus

Credit Available: CLE, CPE and CPD

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.

 

Program Level: Basic

Intended Audience: 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.

Prerequisites: None.

Advanced Preparation: None.

Credit Details