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Fiduciary Investment Advice 2018

Chair(s): Clifford E. Kirsch

Practice Area: Banking and finance, Fiduciary responsibility, Financial products, Regulation and compliance (Securities and other financial products), Securities and other financial products

Published: May 2018 i Other versions can be found in the Related Items tab.
ISBN: 9781402431661
PLI Item #: 221104
CHB Spine #: B2409

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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1 . What Is Fiduciary Investment Advice?
Chapter 2. Fiduciary Investment Advice: The Legal Framework for National Banks (February 22, 2018)
Chapter 3. Fiduciary Investment Advice: The Legal Framework (Substantive Outline)
Chapter 4. Fiduciary Investment Advice and Conflicts of Interest—Litigation, Enforcement, and Regulatory Priorities
Chapter 5. Debevoise & Plimpton, Client Update, OCIE 2018 Examination Priorities Focus on Retail, but Private Fund Sponsors Still in Crosshairs (February 13, 2018)
Chapter 6. U.S. Securities and Exchange Commission, Announcement, Share Class Selection Disclosure Initiative (February 12, 2018)
Chapter 7. U.S. Securities and Exchange Commission, Division of Enforcement, Share Class Selection Disclosure Initiative, Questionnaire for Self-Reporting Advisors
Chapter 8. Debevoise & Plimpton, Client Update, SEC’s Division of Enforcement Announces Self-Reporting Program for Advisers Who Failed to Disclose Conflicts in Share Class Selection (February 13, 2018)
Chapter 9. Julie M. Riewe, Co-Chief, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission, Speech, Conflicts, Conflicts Everywhere—Remarks to the IA Watch 17th Annual IA Compliance Conference: The Full 360 View (February 26, 2015)
Chapter 10. U.S. Securities and Exchange Commission, Division of Enforcement, Annual Report, A Look Back at Fiscal Year 2017
Chapter 11. FINRA: 2018 Annual Regulatory and Examination Priorities Letter (January 2018)
Chapter 12. FINRA, Report on Conflicts of Interest (October 2013)
Chapter 13. Administrative Complaint, In re: Scottrade, Inc., Dkt. No. E-2017-0045 (Mass. Feb. 15, 2018)
Chapter 14. U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, 2018 National Exam Program Examination Priorities
Chapter 15. Gwendolyn A. Williamson and Matthew S. Williams, Fiduciary Investment Advice: Emerging Legislation and Regulations and Other Recent Developments as of February 23, 2018
Index

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