Financial Professional Standards of Conduct: 2019 San Francisco Investment Management Conference

Sasha Burstein, Ruth Delaney, Eden Rohrer
K&L Gates LLP
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AGENDA -

- Background

- Regulation Best Interest

- Judicial Challenges to Regulation Best Interest

- Form CRS

- Interpretation of Investment Adviser’s Fiduciary Duty

- Interpretation of the “Solely Incidental” Prong of the Broker-Dealer Exclusion

Please see full publication below for more information.

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