March 06, 2020

Everyone Has Them: Identifying, Disclosing, and Managing Conflicts of Interest Under Your Fiduciary Duty

Investment Adviser Association Compliance Conference

Washington, DC

Overview

Chicago partner Jim Lundy will speak on the panel “Everyone Has Them: Identifying, Disclosing, and Managing Conflicts of Interest Under Your Fiduciary Duty” at the Investment Adviser Association (IAA) Compliance Conference.

The SEC continues to increase its focus on conflicts arising from advisers’ compensation practices. More and more enforcement actions are centered on questions of whether conflicts disclosures are specific enough to allow for informed consent, particularly in terms of share class selection disclosure and revenue sharing. Panelists will examine best practices for identifying and disclosing conflicts and the implications of such disclosures for the SEC’s interpretation of the fiduciary duty. They will also explore some of the commonly asked questions directed at the Division of Investment Management about adviser disclosure of compensation-related conflicts and recent enforcement cases.

Location

JW Marriott Washington, DC
1331 Pennsylvania Avenue NW
Washington, DC 20004

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