transcript   Transcript

What is Fiduciary Investment Advice?

Recorded on: May. 11, 2018
Running Time: 01:02:49

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 Fiduciary Investment Advice 2018 Recorded May, 2018 in New York [01:02:48]
  • Who are the players?:  Investment advisers; broker-dealers; bank trust departments; retirement plan advisers
  • How does an adviser become a fiduciary?
  • Under what circumstances is a broker-dealer a fiduciary?  Compare and contrast wealth management vs. self-directed, on-line brokerage 
  • In what types of fiduciary activities do banks engage? 
  • How does an adviser to retirement plan assets become a fiduciary? 
  • What is the concept of “recommended” advice?
  • What is the concept of retail advice?  Personalized advice?
The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • What Is Fiduciary Investment Advice?
    Andrew J. Donohue
(s)
Andrew J. Donohue ~ Shearman & Sterling LLP
Robert E. Plaze ~ Proskauer Rose LLP
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
  • YouTube
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.