More On Legal & Compliancefrom The Advisor's Professional Library
- The Few and the Proud: Chief Compliance Officers CCOs make significant contributions to success of an RIA, designing and implementing compliance programs that prevent, detect and correct securities law violations. When major compliance problems occur at firms, CCOs will likely receive regulatory consequences.
- Conducting Due Diligence of Sub-Advisors and Third-Party Advisors Engaging in due-diligence of sub-advisors isnt just a recommended best practice it is part of the fiduciary obligation to a client. An RIA should be extremely reluctant to enter a relationship with a sub-advisor who claims the firms strategy is proprietary.
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 firstname.lastname@example.org, 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.