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

Chair(s): Clifford E. Kirsch

Practice Area: Banking and finance, Employee benefits, Enforcement (Securities and other financial products), Fiduciary responsibility, Financial products, Financial services, Securities and other financial products

Published: Apr 2016 i Other versions can be found in the Related Items tab.
ISBN: 9781402426629
PLI Item #: 150662
CHB Spine #: B2237

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Table of Contents
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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