transcript   Transcript

Attracting Clients and Establishing the Investment Adviser-Client Relationship

Recorded on: Jun. 28, 2017
Running Time: 01:05:54

Full Transcript:

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Taken from the Web Program Fundamentals of Investment Adviser Regulation 2017 recorded June, 2017 in New York.

Attracting Clients and Establishing the Investment Adviser-Client Relationship [01:05:54]
  • Referral arrangements: solicitor programs
  • Pay-to-Play
  • Investment restrictions
  • Advertising
  • Custody
Maureen Baker Fialcowitz, Heather L. Traeger

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

  • Investment Advisers and New Client Relationships (April 27, 2017)
    Heather L. Traeger

Presentation Material

  • Attracting Clients and Establishing the Adviser-Client Relationship
    Maureen Baker Fialcowitz, Heather L. Traeger
Maureen Baker Fialcowitz ~ Chief Legal Officer, PGIM Regulatory, The Prudential Insurance Company of America
Heather L Traeger ~ CCO & Compliance Counsel, Teacher Retirement System of Texas
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