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03324aam a2200457Ic 4500 001 1C4D5A2A08B111E8A8C4D83297128E48 003 SILO 005 20180203010326 008 170504s2017 nyuac b 001 0 eng 020 $a 1402428898 020 $a 9781402428890 035 $a (OCoLC)985462877 040 $a PQD $b eng $e rda $c PQD $d SLA $d SILO 043 $a n-us--- 050 4 $a KF1070.Z9 $b F57 2017 245 00 $a Financial services conflicts of interest & fiduciary duties 2017 : $b navigating the emerging regulatory maze / $c chair, Clifford E. Kirsch. 264 1 $a New York, New York : $b Practising Law Institute, $c [2017] 300 $a 240 pages : $b illustrations, portraits ; $c 23 cm. 490 1 $a Corporate law and practice course handbook series ; $v number B-2319 500 $a "#185824"--Spine. 500 $a "Prepared for distribution at the Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze Program, New York City, April 26, 2017"--Page 5. 500 $a Index is erratic. 504 $a Includes bibliographical references and index. 505 00 $t Eversheds Sutherland (US) LLP, Legal Alert: 2016 Year in Review / $r Allison E Wielobob Eversheds Sutherland (US) LLP. $t U.S. Securities Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program, Examination Priorities for 2017 / $r Clifford E Kirsch Eversheds Sutherland (US) LLP -- $t FINRA: 2017 Annual Regulatory and Examination Priorities Letter (January 2017) / $r Clifford E Kirsch Eversheds Sutherland (US) LLP -- $t FINRA, Report on Conflicts of Interest (October 2013) / $r Joseph J Sheirer District Director, FINRA -- $t Broker Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants (February 8, 2017) / $r Clifford E Kirsch Eversheds Sutherland (US) LLP -- $t Bank Fiduciary Requirements (January 31, 2017) / $r Mary C Downie Associate General Counsel and Vice President, BMO Financial Group -- $t The Evolution of Advice: Digital Investment Advisers as Fiduciaries (2016) / $r Jennifer L Klass Morgan, Lewis & Bockius LLP Eric Perelman Morgan, Lewis & Bockius LLP -- $t Deloitte, DOL Fiduciary Rule: Designing a Conflicts Officer or Conflicts Committee / $r Maria Gattuso Principal, Deloitte Advisory, Deloitte & Touche LLP -- $t Eversheds Sutherland (US) LLP, Legal Alert: 2016 Year in Review / $r Allison E Wielobob Eversheds Sutherland (US) LLP. 650 0 $a Financial services industry. 650 0 $a Trusts and trustees. 650 0 $a Brokers. 650 0 $a Investment advisors. 610 10 $a United States. $t Employee Retirement Income Security Act of 1974. 610 10 $a United States. $t Securities Exchange Act of 1934. 610 10 $a United States. $t Investment Advisers Act of 1940. 610 10 $a United States. $b Securities and Exchange Commission $x Rules and practice. 610 20 $a Financial Industry Regulatory Authority $x Rules and practice. 650 0 $a Wealth. 650 0 $a Legal ethics. 700 1 $a Kirsch, Clifford E. $e chair. 710 2 $a Practising Law Institute, $e sponsoring body. 830 0 $a Corporate law and practice course handbook series ; $v no. B-2319. 941 $a 1 952 $l OVUX522 $d 20180203044312.0 956 $a http://locator.silo.lib.ia.us/search.cgi?index_0=id&term_0=1C4D5A2A08B111E8A8C4D83297128E48Initiate Another SILO Locator Search