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Broker-Dealer Standard of Conduct: Living with Reg. BI and a Patchwork of State Fiduciary Regs

Video February 20, 2019 BDIA Editors Leave a comment

Fundamentals of Broker-Dealer Regulation 2019 (excerpt)

Speakers: Joseph Brady, North American Securities Administrators Association (NASAA), Evan Charkes, Bank of America, Clifford E. Kirsch, Eversheds Sutherland (US) LLP, Stephanie Nicolas, WilmerHale LLP

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Clifford E. Kirsch, Editor

Eversheds Sutherland

With more than 25 years of experience, Cliff regularly counsels clients on the design and distribution of investment products including wrap-fee programs and other advisory products, mutual funds, bank collective investment funds and insurance products. He also focuses on issues related to the design and implementation of compliance programs at financial services firms.

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Fundamentals of Broker-Dealer Regulation 2019 (excerpt)

Speakers: Joseph Brady, North American Securities Administrators Association (NASAA), Evan Charkes, Bank of America, Clifford E. Kirsch, Eversheds Sutherland (US) LLP, Stephanie Nicolas, WilmerHale LLP

Broker-Dealer Standard of Conduct: Living with Reg. BI and a Patchwork of State Fiduciary Regs
February 20, 2019 BDIA Editors Leave a comment

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