transcript   Transcript

Broker-Dealer Retail Wealth Management: The Regulatory Framework

Recorded on: Feb. 10, 2017
Running Time: 01:36:43

Full Transcript:



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Taken from the Web Program Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants recorded February, 2017 in New York.

Broker-Dealer Retail Wealth Management: The Regulatory Framework [01:36:42]
  • Financial planning; Discretionary Advisory Services v. Non- Discretionary Advisory Services; Wrap Programs v. Non-Wrap Programs
  • The Various Platforms: Corporate RIAs; RIA/RR Independent Business Model
  • FINRA’s Oversight of Broker-Dealer Advisory Activity 
  • The Advisers Act—Implications for a Broker Dealer Offering Advisory Services
  • Regulatory Friction Points
  • Opportunities for Harmonization
Clifford E. Kirsch, Cece Baute Mavico, John C. Munch

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

  • Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants—The Broker-Dealer and Adviser Uniform Standard of Care (February 8, 2017)
    Clifford E. Kirsch
  • Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants—Supervision (February 8, 2017)
    Clifford E. Kirsch

Presentation Material

  • Broker-Dealer Retail Wealth Management/The Regulatory Framework - Operating as a Dual-Registrant
    Clifford E. Kirsch, Cece Baute Mavico, John C. Munch
(s)
Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Cece Baute Mavico ~ Senior Vice President and Associate General Counsel, LPL Financial
John C Munch ~ General Counsel, SEI Investments Distribution Co.
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