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:



If you are a Privileged Member, just log in and start reading now! If you are not a Privileged Member, please click here to learn how unlimited access to PLI programs may be right for you and your firm.

To access the streaming media of this presentation, please purchase the corresponding seminar segment.

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
(s)
Michael B Koffler ~ Eversheds Sutherland (US) LLP
Chris Stanley ~ General Counsel, Loring Ward
Share
Email
Transcript FAQ's
  • How Can I Access Transcripts?
    You must be a Member in good standing.

  • Can I access the Video?
    Yes, you can access the video if you have the Adobe Flash plugin installed. Click on the video camera icon when you mouse over each paragraph. The media will begin playback at that point.

  • Can I get CLE credit for reading the transcript?
    No, CLE credit cannot be earned for reading a transcript. CLE credit is issued only for verified attendance while watching a web program. If seeking credit, please verify the program's eligibility for credit and expiration date in your jurisdiction on the web segment launch page before commencing the program.

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2017 Practising Law Institute. Continuing Legal Education since 1933.

© 2017 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.