Event

Fiduciary: Bank vs. RIA

May 20, 2019

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