Fiduciary: Bank vs. RIA

Please join us for an overview of fiduciary & regulatory restriction.

TOPICS WILL INCLUDE:

• Regulators of Wealth Management Firms
• Substantive Regulation of Wealth Management Firms
• Fiduciary Obligations Derive from Nature of Relationship & Extent of Client’s Reliance
• Core Fiduciary Obligations
• Common Conflicts in Wealth Management
• Additional Requirements for Banks & RIAs
• 2019 Key Areas of Regulatory Focus in US
• Sample Current Policy & Regulatory Issues