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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

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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The Internet of Things: What You Don’t Know Might Hurt You

Litigating Civil and Criminal Trade Secret Cases: Trends, Best Practices, and Lessons Learned

Dealing with Biometric Information: Compliance and Litigation Issues

Sixth Annual Form 10-K/Proxy Tune-Up

NYS Regulation 187 and the "New Fiduciary Era for Life Insurance" – Ethical Considerations for Legal and Financial Professionals

Contributors

Anna T. Pinedo (10)

Benjamin T. Marzouk (10)

BDIA Editors (29)

Cari Hopfensperger (2)

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)

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Investor Alert: Credit Cards and Investments – A Risky Combination
FINRA Foundation Announces New Appointments to Board of Directors

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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

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