Course Handbook  Course Handbook

Fiduciary Investment Advice 2018

Publication Date: May 2018 Number of Volumes: 1
ISBN Number: 9781402431661 Page Count: 290 pages

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Download: Table of Contents    Index

Table of Contents
Chapter 1 : What Is Fiduciary Investment Advice? Andrew J. Donohue ~ Shearman & Sterling LLP
Chapter 2: Fiduciary Investment Advice: The Legal Framework for National Banks (February 22, 2018) Mary C. Downie ~ Associate General Counsel and Vice President, BMO Financial Group
Chapter 3: Fiduciary Investment Advice: The Legal Framework (Substantive Outline) David C. Kaleda ~ Groom Law Group, Chartered
Chapter 4: Fiduciary Investment Advice and Conflicts of Interest—Litigation, Enforcement, and Regulatory Priorities Emily P. Gordy ~ McGuireWoods LLP
Chapter 5: Debevoise & Plimpton, Client Update, OCIE 2018 Examination Priorities Focus on Retail, but Private Fund Sponsors Still in Crosshairs (February 13, 2018) Julie M. Riewe ~ Debevoise & Plimpton LLP
Chapter 6: U.S. Securities and Exchange Commission, Announcement, Share Class Selection Disclosure Initiative (February 12, 2018) Emily P. Gordy ~ McGuireWoods LLP
Julie M. Riewe ~ Debevoise & Plimpton LLP
Chapter 7: U.S. Securities and Exchange Commission, Division of Enforcement, Share Class Selection Disclosure Initiative, Questionnaire for Self-Reporting Advisors Emily P. Gordy ~ McGuireWoods LLP
Julie M. Riewe ~ Debevoise & Plimpton LLP
Chapter 8: Debevoise & Plimpton, Client Update, SEC’s Division of Enforcement Announces Self-Reporting Program for Advisers Who Failed to Disclose Conflicts in Share Class Selection (February 13, 2018) Julie M. Riewe ~ Debevoise & Plimpton LLP
Chapter 9: Julie M. Riewe, Co-Chief, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission, Speech, Conflicts, Conflicts Everywhere—Remarks to the IA Watch 17th Annual IA Compliance Conference: The Full 360 View (February 26, 2015) Emily P. Gordy ~ McGuireWoods LLP
Julie M. Riewe ~ Debevoise & Plimpton LLP
Chapter 10: U.S. Securities and Exchange Commission, Division of Enforcement, Annual Report, A Look Back at Fiscal Year 2017 Emily P. Gordy ~ McGuireWoods LLP
Julie M. Riewe ~ Debevoise & Plimpton LLP
Chapter 11: FINRA: 2018 Annual Regulatory and Examination Priorities Letter (January 2018) Emily P. Gordy ~ McGuireWoods LLP
Julie M. Riewe ~ Debevoise & Plimpton LLP
Chapter 12: FINRA, Report on Conflicts of Interest (October 2013) Emily P. Gordy ~ McGuireWoods LLP
Julie M. Riewe ~ Debevoise & Plimpton LLP
Chapter 13: Administrative Complaint, In re: Scottrade, Inc., Dkt. No. E-2017-0045 (Mass. Feb. 15, 2018) Emily P. Gordy ~ McGuireWoods LLP
Julie M. Riewe ~ Debevoise & Plimpton LLP
Chapter 14: U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, 2018 National Exam Program Examination Priorities Emily P. Gordy ~ McGuireWoods LLP
Julie M. Riewe ~ Debevoise & Plimpton LLP
Chapter 15: Gwendolyn A. Williamson and Matthew S. Williams, Fiduciary Investment Advice: Emerging Legislation and Regulations and Other Recent Developments as of February 23, 2018 Gwendolyn A. Williamson ~ Perkins Coie LLP
Index

This Course Handbook was compiled for the program, Fiduciary Investment Advice 2018.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Clifford E. Kirsch, Eversheds Sutherland (US) LLP
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Fiduciary Investment Advice 2018 Clifford E. Kirsch, Eversheds Sutherland (US) LLP
 
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