October 22, 2019

NSCP Conference – SEC Final RIA Guidance


Chicago partner Jim Lundy will speak at the 2019 National Society of Compliance Professionals (NSCP) National Conference in Baltimore from October 21 to 23, 2019. Jim will be featured on the session titled “Investment Adviser Standard of Conduct.”

This session will analyze the SEC’s recent final interpretation of the Standard of Conduct for Investment Advisers. The session will review the history of an adviser’s fiduciary duty, and will delve into how the guidance applies to the underlying duties of care and loyalty. This panel will also discuss investment adviser best practices for complying with these duties and how firms can apply certain nuances of current day interpretations to industry practices.

Services and Industries

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