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Webinar: Understanding Fiduciary Duties and a Sweep of Anti-Fraud Provisions of the Advisers Act

March 14, 2017
1:00 PM - 3:00 PM EDT

March 14, 2017
1:00 PM - 3:00 PM EDT


This program is designed to increase the professional competence of investment adviser professionals with legal, compliance and management responsibilities.

After attending this course, attendees should be able to:

  • Incorporate fiduciary duty requirements into the firm’s ongoing and continuous compliance obligations
  • Provide examples of how fiduciary duty impacts advisory operations
  • Identify extra disclosure requirements for pooled investment vehicles
  • Distinguish between principal and agency cross transactions
  • Use the specific SEC advertising rule and performance presentation requirements to accurately disclose the firm’s operations and performance
  • Identify important and diverse SEC no-action letters covering advertising and performance

Practice Areas

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