Course Handbook  Course Handbook

Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze

Publication Date: April 2017 Number of Volumes: 1
ISBN Number: 9781402428890 Page Count: 242 pages


Download: Table of Contents    Index

Table of Contents
Chapter 1: The Fiduciary Structure of Investment Management Regulation Arthur B Laby ~ Professor, Rutgers Law School
Chapter 2: U.S. Securities Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program, Examination Priorities for 2017 Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 3: FINRA: 2017 Annual Regulatory and Examination Priorities Letter (January 2017) Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 4: FINRA, Report on Conflicts of Interest (October 2013) Joseph J Sheirer ~ District Director, FINRA
Chapter 5: Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants (February 8, 2017) Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
Chapter 6: Bank Fiduciary Requirements (January 31, 2017) Mary C Downie ~ Associate General Counsel and Vice President, BMO Financial Group
Chapter 7: The Evolution of Advice: Digital Investment Advisers as Fiduciaries (2016) Jennifer L Klass ~ Morgan, Lewis & Bockius LLP
Eric Perelman ~ Morgan, Lewis & Bockius LLP
Chapter 8: Deloitte, DOL Fiduciary Rule: Designing a Conflicts Officer or Conflicts Committee Maria Gattuso ~ Deloitte & Touche LLP
Chapter 9: Eversheds Sutherland (US) LLP, Legal Alert: 2016 Year in Review Allison E Wielobob ~ Eversheds Sutherland (US) LLP

This Course Handbook was compiled for the program, Financial Services Conflicts of Interest Fiduciary Duties 2017 Navigating the Emerging Regulatory Maze.

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.

Clifford E Kirsch, Eversheds Sutherland (US) LLP

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