Fiduciary Duties of Investment Advisors, Broker-Dealers and Fund Managers
Navigating Regulatory and Litigation Developments to Minimize Fiduciary Liability Claims
SEC recommends higher fiduciary standards for broker-dealers
Recording of a 90-minute premium CLE webinar with Q&A
This CLE course will provide financial services counsel with an overview of the evolving nature of fiduciary duties in an era of financial reform. The panel will discuss regulatory and litigation trends and developments and outline risk management strategies to minimize fiduciary liability claims.
- Financial advisors
- Registered investment advisors
- Broker dealers
- Hedge fund advisors
- SEC developments
- Insurance and retirement plans expenses and revenue sharing
- Mutual funds
- ERISA fiduciary disclosure
- Risk management strategies for fiduciaries
The panel will review these and other key questions:
- How has Dodd-Frank impacted fiduciary duties of market participants?
- In what circumstances have the courts addressed the fiduciary duties owed by private fund managers?
- What are the latest developments in fiduciary obligations with respect to retirement fund fees and revenue sharing?
Following the speaker presentations, you'll have an opportunity to get answers to your specific questions during the interactive Q&A.
James O. Fleckner
Mr. Fleckner is a nationally recognized leader in the field of ERISA litigation and heads the firm’s ERISA... | Read More
Mr. Fleckner is a nationally recognized leader in the field of ERISA litigation and heads the firm’s ERISA Litigation Practice. He focuses on complex commercial litigation, representing financial service providers and corporate clients in ERISA, securities and derivative class actions and in private civil litigation. He is renowned as a lecturer and author on ERISA and related litigation topics, and has presented at over 40 conferences across the U.S.Close
His practice focuses on representing investment companies and investment advisers. His investment company clients... | Read More
His practice focuses on representing investment companies and investment advisers. His investment company clients include both open-end and closed-end funds, multi-class funds and master-feeder funds. His practice involves advice and counsel with respect to fiduciary responsibilities, the provision of investment management services and compliance matters.Close