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Financial Services Fiduciary Duties: Navigating the Emerging Regulatory Maze

Chair(s): Clifford E. Kirsch
Practice Area: Corporate & Securities
Published: Apr 2014
ISBN: 9781402422041
PLI Item #: 52654
CHB Spine #: B2093

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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Financial Institutions as Fiduciaries: Managing Conflicts of Interest in the Wealth Management Business
Chapter 2. The Broker-Dealer and Adviser Uniform Standard of Care
Chapter 3. Standards of Conduct under ERISA, the Exchange Act, and the Advisers Act
Chapter 4. FINRA Report on Conflicts of Interest (October 2013)
Chapter 5. Examination Priorities for 2014, National Exam Program, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission (January 9, 2014)
Chapter 6. FINRA 2014 Regulatory and Examination Priorities Letter (January 2, 2014)
Chapter 7. Speech by Stephen M. Cutler, Director, Division of Enforcement, U.S. Securities and Exchange Commission, Remarks Before The National Regulatory Services Investment Adviser and Broker-Dealer Compliance/Risk Management Conference (September 9, 2003)
Index