transcript   Transcript

Emerging Trends and Hot Topics in Investment Adviser Regulation

Recorded on: Jun. 27, 2018
Running Time: 01:13:11

Full Transcript:

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Taken from the Web Program Fundamentals of Investment Adviser Regulation 2018 Recorded June 2018 in New York

Emerging Trends and Hot Topics in Investment Adviser Regulation [01:13:11]
  • SEC and state securities regulatory developments
  • Developments re: wrap products and advisory programs
  • Robo-Advisers
  • Illiquid investments
  • Break-away broker-dealers

Gail Bernstein, Joseph Brady, Chih-Pin Lu, Mark Polemeni

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
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Presentation Material
  • The Regulatory Landscape for Advisers – 2018
  • Gail Bernstein
    Gail Bernstein ~ General Counsel, Investment Adviser Association
    Joseph Brady ~ Executive Director, North American Securities Administrators Association (NASAA)
    Chih-Pin Lu ~ Chief Counsel, Asset Management Group, Raymond James Financial,Inc
    Mark Polemeni ~ Chief Compliance Officer & Chief Regulatory Counsel, Perella Weinberg Partners
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