Legal Perspectives on Current Regulatory Developments for BDs and IAs

Search

Skip to content

Practising Law Institute
Treatises

Search for:

Videos

Regulatory, Standard of Care, Compliance

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

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.

Sign up for BD/IA updates

Email *

Briefings

RSS Error: WP HTTP Error: error:14077410:SSL routines:SSL23_GET_SERVER_HELLO:sslv3 alert handshake failure

Contributors

Anna T. Pinedo (10)

Benjamin T. Marzouk (10)

BDIA Editors (30)

Cari Hopfensperger (6)

Cheryl L. Haas (1)

Clifford E. Kirsch (25)

David F. Freeman, Jr. (3)

Jaqueline Hummel (4)

Kenneth J. Berman (2)

Lilya Tessler (2)

Peter M. Rosenblum (2)

Susan Grafton (2)

"Other News"

FINRA Foundation Seeks Applicants for Military Spouse Fellowship
SR-FINRA-2018-012
FINRA Warns Investors of 'Regulator' Imposter Scams
Investor Alert: Credit Cards and Investments – A Risky Combination
FINRA Foundation Announces New Appointments to Board of Directors

Questions or comments?

Contact us at InquiriesBDIABlog@pli.edu

Categories

Compliance
Enforcement
International
Regulatory
Standard of Care
Uncategorized

Videos

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

More videos →

Recent Posts

Expansion of the pool of accredited investors
Moving forward under the SEC’s new variable product summary prospectus framework
Why Compliance Officers Have Even More to Worry About
Why FINRA’s 529 Plan Self-Reporting Initiative Matters a Year Later For Participating and Non-Participating Firms
Killing Eve (all others are fined or suspended): SEC and FINRA Enforcement Cases in May 2020

Archives

Proudly powered by WordPress