Countdown to Stradley/Fidelity/ICI webcast on SEC standards of conduct proposal

On October 4 at 11 am (EDT), David Grim and Larry Stadulis of Stradley’s Fiduciary Governance Group will be joined by Fidelity Management and the Investment Company Institute to discuss the potential impact of the SEC’s Best Interest Proposals on the fund industry, and more specifically:

  • Key Themes in the Comment Letters
  • Impact on Fund Distributors, Dealers and Funds, including Non-Cash Compensation and Other Distribution Practices
  • Evolving Process and Future Suitability Concerns

David Grim is former Director of the SEC’s Investment Management Division. This will surely be an informative discussion.

Please click here to register.

George Michael Gerstein advises financial institutions on the fiduciary and prohibited transaction provisions of ERISA. As co-chair of the fiduciary governance group, he assists clients with tracking, and understanding, the numerous fiduciary developments at the federal and state levels, including the rules and regulations of governmental plans. He also advises clients with respect to the fiduciary duty implications of ESG investing.