On May 24, please join Eversheds Sutherland (US) attorneys Clifford Kirsch, Michael Koffler, Issa Hanna, Ben Marzouk, Bria Adams and Sue Lee for our quarterly series of complimentary webcasts dedicated to issues affecting investment advisers. This webcast will focus on adviser regulatory developments and examinations and other important trends.
The SEC’s proposed fiduciary duty See more +
On May 24, please join Eversheds Sutherland (US) attorneys Clifford Kirsch, Michael Koffler, Issa Hanna, Ben Marzouk, Bria Adams and Sue Lee for our quarterly series of complimentary webcasts dedicated to issues affecting investment advisers. This webcast will focus on adviser regulatory developments and examinations and other important trends.
The SEC’s proposed fiduciary duty interpretation
OCIE’s risk alert on advisory fees and expenses
The SEC’s 12b-1 share class initiative
FinCEN’s customer due diligence FAQs
FINRA’s OBA/PST rule proposal – and what it means for broker-dealer supervision of advisory activity See less -
