Proposed Uniform Fiduciary Standard: The Devil Is in the Details

07/16/2015 01:00 p.m. - 02:00 p.m. EDT

Banking + Financial Services, Capital Markets, Broker-Dealer Compliance + Regulation, Investment Management, and Financial Services

Jay G. Baris and Hillel T. Cohn

Hillel T. Cohn and Jay G. Baris

Teleconference

Download Presentation Materials

Harrison Lawrence
hlawrence@mofo.com
(212) 336-4004

Join Morrison & Foerster Senior Of Counsel Hillel Cohn and Partners Jay Baris and Daniel Nathan as they present on the proposed uniform fiduciary standard for advisers and broker-dealers. This session will cover topics including:

  • Background of the Proposal for a Uniform Fiduciary Standard;
  • The DOL Proposal for Retirement Accounts;
  • Recent Statements from the SEC;
  • FINRA's Application of an Elevated Standard;
  • SIFMA’s Proposal for a “Best Interests” Customer Standard; and
  • Where Do We Go From Here?

Email Disclaimer

Unsolicited e-mails and information sent to Morrison & Foerster will not be considered confidential, may be disclosed to others pursuant to our Privacy Policy, may not receive a response, and do not create an attorney-client relationship with Morrison & Foerster. If you are not already a client of Morrison & Foerster, do not include any confidential information in this message. Also, please note that our attorneys do not seek to practice law in any jurisdiction in which they are not properly authorized to do so.

©1996-2017 Morrison & Foerster LLP. All rights reserved.