transcript   Transcript

Overview of Advisory Programs

Recorded on: Feb. 8, 2018
Running Time: 00:59:00

Full Transcript:

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Taken from the Web Program Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants held February 2018 in New York

Overview of Advisory Programs [00:59:00]

  • Solicitor v. Advisory v. Co-Advisory programs
  • Mutual fund asset allocation programs
  • SMAs
  • UMAs

Joseph M. Gallo, Svetlana Milina

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

  • Ch. 43: Wrap Fee Programs, Practicing Law Institute, Investment Adviser Regulation (3rd Edition) (October 2017)
    Clifford E. Kirsch

Presentation Material
  • Overview of Advisory Programs
    Joseph M. Gallo, Svetlana Milina
    Joseph M. Gallo ~ VP, Senior Counsel, Lincoln Financial Group
    Svetlana Milina ~ Executive Director, Legal Counsel, Morgan Stanley
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