transcript   Transcript

How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty

Recorded on: Jun. 28, 2017
Running Time: 00:59:55

Full Transcript:

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Taken from the Web Program Fundamentals of Investment Adviser Regulation 2017 recorded June, 2017 in New York.

How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty [00:59:54]
  • The Form ADV
  • The Adviser disclosure regime
  • Advisers as fiduciaries
Michael B. Koffler, Chris Stanley

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

  • An Investment Adviser’s Fiduciary Duty (September 26, 2016)
    Lorna A. Schnase
  • A Few Thoughts on the SEC’s Robare Decision (December 8, 2016)
    Chris Stanley
  • Financial Planning & Regulatory Assets Under Management (August 2, 2016)
    Chris Stanley
  • Advisor Reliance on Compliance Consultants Hangs in the Balance (October 29, 2015)
    Chris Stanley
  • SEC to RIAs: Beware the Ides of ‘May’ (April 9, 2015)
    Chris Stanley
  • When and Why to Make Form ADV Updates (April 25, 2014)
    Chris Stanley
  • Advisor Conflicts of Interest: Finding and Mitigating Them (December 24, 2013)
    Chris Stanley
  • U.S. Securities and Exchange Commission—Final Rule: Form ADV and Investment Advisers Act Rules, 17 CFR Parts 275 and 279
    Chris Stanley
  • Form ADV (Paper Version): Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers, Revisions to Form ADV related to adopted rule release IA-4509
    Chris Stanley

Presentation Material

  • How Do Advisers Register The Disclosure Regime Advisers’ Fiduciary Duty
    Michael B. Koffler, Chris Stanley
Michael B Koffler ~ Eversheds Sutherland (US) LLP
Chris Stanley ~ General Counsel, Loring Ward
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