The SEC's Three Fiduciary Duty-Related Proposals

The SEC's Three Fiduciary Duty-Related Proposals

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October 15, 2018 | Harvard Club | New York City

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Early-Bird Pricing expires September 17, 2018 - Subscribers save $150.

Take advantage of special “team” attendee discounts by calling our
Compliance Concierge, Terry Green, at 1-800-455-5844 ext. 8004
or email for savings details.


October 15
Harvard Club (NYC)

Now that SEC commissioners have just put forth their stamp on the fiduciary duty issue, it’s time to decipher the Commission’s three proposals – Reg Best Interest, Form CRS and an interpretation of the IA Fiduciary Duty Standard.

Join us for this one-day conference where you’ll learn the pros and cons of each of these significant proposals that could radically change how you and your firm does business.

Our conference agenda includes 7 information-packed sessions:

7:30 a.m. – 8:30 a.m.
Registration and Continental Breakfast

8:30 a.m. – 9:00 a.m.
Keynote Address

9:00 a.m. – 10:00 a.m.
Stoking the Battle Lines Dividing the Fiery Issue of Fiduciary Duty

10:00 a.m. – 10:30 a.m.
Refreshment Break: Meet Our Exhibitors

10:30 a.m. – 11:15 a.m.
A High-Level Review of the SEC’s Fiduciary Duty Rule

11:15 a.m. – 11:45 a.m.
Regulation Best Interest: A Deep Dive

11:45 a.m. – 12:15 p.m.
Form CRS: Helpful New Disclosure or New Legal Risk?

12:15 p.m. – 1:15 p.m.
Lunch: Network with Your Peers

1:15 p.m. – 1:45 p.m.
A Sharpened Standard for IAs, Plus Potentially New and Costly Requirements

1:45 p.m. – 2:15 p.m.
Refreshment Break: Network with Your Peers in the Exhibit Hall

2:15 p.m. – 3:00 p.m.
Enforcement Risks Exist Now! Lessons Drawn from SEC Actions Triggered by Fiduciary Duty Violations

3:00 p.m. – 4:00 p.m.
Getting the Jump: Best Practices to Employ Right Now

4:00 p.m.
Conference Adjourns

Space is limited so register online now to reserve your seat. If you have any questions, or if you prefer to register over the phone please contact our Attendee Concierge, Terry Green at
800-455-5844, Ext. 8004.

P.S. You have nothing to lose, there is absolutely no risk in registering. We offer our iron-clad 100% Money-back guarantee: return to your office with practical advice, best practices and peer-tested guidance or we’ll refund your entire registration fee. No questions asked. We’re that confident that you’ll go home with winning compliance solutions and best practices.