transcript   Transcript

Investment Management: New Fiduciary World

Recorded on: May. 2, 2018
Running Time: 01:01:32

Full Transcript:



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Taken from the Web Program Investment Management Institute 2018 Recorded April, 2018 in New York [01:01:32]
  • The parameters of the DOL’s Fiduciary Rule and prospects for modification
  • Effects of the rule on investment advisers and other intermediaries
  • The specter of SEC initiatives
  • Litigation challenging the DOL Fiduciary Rule

Peter E. Haller (Panel Leader); Jason Bortz, Michael P. Kreps, Sarah ten Siethoff

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

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  • Testimony Before the United States Senate Committee on Banking, Housing and Urban Affairs on Oversight of the U.S. Securities and Exchange Commission, by Jay Clayton, Chairman, U.S. Securities and Exchange Commission, Washington, D.C. (September 26, 2017)
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  • U.S. Securities and Exchange Commission, Adoption of Temporary Rule, Certain Broker-Dealers Deemed Not To Be Investment Advisers—Release Nos. 34-50979; IA-2339; File No. S7-25-99 (January 7, 2005)
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  • U.S. Securities and Exchange Commission, Request for Data and Other Information, Duties of Brokers, Dealers, and Investment Advisers—Release No. 34-69013; IA-3558; File No. 4-606
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  • U.S. Securities and Exchange Commission, Public Law 111–203, Dodd-Frank Wall Street Reform and Consumer Protection Act, Sec. 913, Study and Rulemaking Regarding Obligations of Brokers, Dealers and Investment Advisers (July 21, 2010)
    Peter E. Haller
  • U.S. Securities and Exchange Commission, Study on Investment Advisers and Broker-Dealers (January 2011)
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  • RAND Institute for Civil Justice, LRN-RAND Center for Corporate Ethics, Law and Governance, Investor and Industry Perspectives on Investment Advisers and Broker-Dealers (2008)
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  • Jay Clayton, Chairman, U.S. Securities and Exchange Commission, Public Statement, Public Comments from Retail Investors and Other Interested Parties on Standards of Conduct for Investment Advisers and Broker-Dealers (June 1, 2017)
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Presentation Material
  • New Fiduciary World
    Jason Bortz, Peter E. Haller, Michael P. Kreps, Sarah ten Siethoff
    • (s)
      Jason Bortz ~ Senior Counsel, Senior Vice President, Capital Group
      Peter E. Haller ~ Willkie Farr & Gallagher LLP
      Michael P. Kreps ~ Groom Law Group
      Sarah ten Siethoff ~ U.S. Securities and Exchange Commission
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