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Investment Adviser Core Compliance Program Symposium

Speaking engagements | June 9, 2021, 1:00 p.m.

Corporate partner Stacey Song and corporate associate Joanna Rosenberg will co-present the course “Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act” at the Investment Adviser Core Compliance Program Symposium. The session will cover the many permutations of the adviser’s fiduciary duty as it has evolved and will provide examples of how it impacts advisory operations. Additionally, the session will address some of the more expansive SEC rules promulgated pursuant to Section 206 that define the parameters of an adviser’s fiduciary duties, with special attention to Rule 206(4)-1, “the Advertising Rule,” which prohibits certain advertising practices by advisers.
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