Feb. 10: Live Discussion, Webcast on SEC's Fiduciary Standard

New York event will explore ramifications for advisors from the SEC Fiduciary Study

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  • Client Commission Practices and Soft Dollars RIAs should always evaluate whether the products and services they receive from broker-dealers are appropriate. The SEC suggested that an RIA’s failure to stay within the scope of the Section 28(e) safe harbor may violate the advisor’s fiduciary duty to clients, so RIAs must evaluate their soft dollar relationships on a regular basis to ensure they are disclosed properly and that they do not negatively impact the best execution of clients’ transactions.
  • Privacy Policies and Rules Whether an RIA is SEC or state-registered, the firm must have policies and procedures in effect to protect clients’ privacy. Policies and procedures should explicitly require an RIA to send out its privacy notice each year.

New Date: Feb. 10, from 10 AM to 12 Noon

(Due to the blizzard in New York, this live event and webcast was postponed from Jan 27.) 

AdvisorOne readers are invited to attend a live event or view a live webcast on Feb. 10, from 10 AM to 12 Noon Eastern time, that will explore the ramifications for advisors of all kinds and their partners of the SEC's study on extending the fiduciary standard to all advice givers.  

Presented by The Center for Financial Services at New York Law School and The Committee for the Fiduciary Standard, with AdvisorOne.com as media partner, the interactive discussion will be held at and webcast live from New York Law School in downtown New York City. Live or webcast attendees for the free event--“The SEC Study Regarding Obligations of Brokers, Dealers, and Investment Advisers: What Does It Mean for Investors, Firms, Brokers, and Advisers?”--will be able to e-mail their questions to the panel participants. 

Held at the Law School's Auditorium at 185 West Broadway in lower Manhattan from 10 AM to 12 Noon on Feb 10, the distinguished panelists include Tom Bradley, president of TD Ameritrade Institutional (left), who will provide keynote remarks for the discussion. The panel will be moderated by Tara Siegel Bernard, personal finance reporter for The New York Times.

Other scheduled speakers at the event are:

James Fanto, Professor, Brooklyn Law School

Thomas Selman, Executive VP for Regulatory Policy, FINRA  

Michael Koffler, Partner, Sutherland Asbill & Brennan

Robert Colby, Partner, Davis Polk & Wardwell; former SEC Deputy Director of Market Regulation

Knut  Rostad, Chairman, The Committee for the Fiduciary Standard

To attend the free event in person, please contact adrienneanthony@evenskykatz.com, and be sure to include your name and affiliation.

To view the webcast, please register here

Following the event, look for reports on the discussion on AdvisorOne. 

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