Event: Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze (NY)

Event: Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze (NY)
Date: 2017-04-26
Details: April 26: "Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze," sponsored by the Practising Law Institute, will be held in New York, NY at the PLI New York Center. The legal framework applying to fiduciary investment advice is undergoing a sea change. The DOL has finalized rule-making that is dramatically changing the regulatory framework establishing fiduciary duties and obligations for broker-dealers, advisors and service providers in the retirement marketplace. At the same time, the SEC continues to advance its consideration of whether to subject broker-dealers and advisers to a harmonized uniform standard of care. While the regulatory framework takes shape, regulators are subjecting regulatory entities to intense scrutiny regarding firms’ identification, disclosure and mitigation of conflicts of interest. In this program, we review the respective frameworks and discuss practical considerations for navigating the regulatory maze. For further information and to register for this event, call 800-260-4PLI or visit www.pli.edu

Regis Fee: $895.00.

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