transcript   Transcript

What is Fiduciary Investment Advice?

Recorded on: May. 11, 2018
Running Time: 01:02:49

Full Transcript:

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Taken from the Web Program Fiduciary Investment Advice 2018 Recorded May, 2018 in New York [01:02:48]
  • Who are the players?:  Investment advisers; broker-dealers; bank trust departments; retirement plan advisers
  • How does an adviser become a fiduciary?
  • Under what circumstances is a broker-dealer a fiduciary?  Compare and contrast wealth management vs. self-directed, on-line brokerage 
  • In what types of fiduciary activities do banks engage? 
  • How does an adviser to retirement plan assets become a fiduciary? 
  • What is the concept of “recommended” advice?
  • What is the concept of retail advice?  Personalized advice?
The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • What Is Fiduciary Investment Advice?
    Andrew J. Donohue
Andrew J. Donohue ~ Shearman & Sterling LLP
Robert E. Plaze ~ Proskauer Rose LLP
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