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Financial Services Conflicts of Interest & Fiduciary Duties 2016: Navigating the Emerging Regulatory Maze

Author(s): Clifford E. Kirsch
Practice Area: Corporate & Securities, Employee Benefits
Published: Apr 2016
ISBN: 9781402426629
PLI Item #: 150662
CHB Spine #: B2237

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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Do I Have a Bridge for You: Fiduciary Duties and Investment Advice, Vol. 17:1 (2015)
Chapter 2. The Broker-Dealer and Adviser Uniform Standard of Care (December 15, 2015)
Chapter 3. FINRA: A Report from the Financial Industry Regulatory Authority, Report on Conflicts of Interest (October 2013)
Chapter 4. Conflicts of Interest Review—Compensation and Oversight (August 2015)
Chapter 5. 2015 Fiduciary Advice Proposal
Chapter 6. Sutherland, Legal Alert: DOL Reproposes Expanded ERISA Fiduciary Definition and Revised Complex of Exemptions (April 21, 2015)
Index