transcript   Transcript

Fiduciary Investment Advice: Litigation and Enforcement Perspectives

Recorded on: May. 11, 2018
Running Time: 01:01:15

Full Transcript:

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Taken from the Web Program Fiduciary Investment Advice 2018 Recorded May, 2018 in New York [01:01:15]
  • What are the lessons from recent enforcement actions?
  • What private rights of action are available?
  • How does the concept of fiduciary investment advice play out in private litigation and arbitration?
  • Defending a fiduciary breach claim
  • Identifying conflicts and administering a conflicts management framework: FINRA guidance on conflicts; OCC conflicts handbook
  • What are the regulatory exam priorities?
The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • Fiduciary Investment Advice and Conflicts of Interest—Litigation, Enforcement, and Regulatory Priorities
    Emily P. Gordy
  • Debevoise & Plimpton, Client Update, OCIE 2018 Examination Priorities Focus on Retail, but Private Fund Sponsors Still in Crosshairs (February 13, 2018)
    Julie M. Riewe
  • U.S. Securities and Exchange Commission, Announcement, Share Class Selection Disclosure Initiative (February 12, 2018)
    Emily P. Gordy, Julie M. Riewe
  • U.S. Securities and Exchange Commission, Division of Enforcement, Share Class Selection Disclosure Initiative, Questionnaire for Self-Reporting Advisors
    Emily P. Gordy, Julie M. Riewe
  • 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
  • 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, Julie M. Riewe
  • U.S. Securities and Exchange Commission, Division of Enforcement, Annual Report, A Look Back at Fiscal Year 2017
    Emily P. Gordy, Julie M. Riewe
  • FINRA: 2018 Annual Regulatory and Examination Priorities Letter (January 2018)
    Emily P. Gordy, Julie M. Riewe
  • FINRA, Report on Conflicts of Interest (October 2013)
    Julie M. Riewe, Emily P. Gordy
  • Administrative Complaint, In re: Scottrade, Inc., Dkt. No. E-2017-0045 (Mass. Feb. 15, 2018)
    Julie M. Riewe, Emily P. Gordy
  • U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, 2018 National Exam Program Examination Priorities
    Emily P. Gordy, Julie M. Riewe
Emily P. Gordy ~ McGuireWoods LLP
Julie M. Riewe ~ Debevoise & Plimpton LLP
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