Ken Joseph, Managing Director and Head of Disputes in the Governance, Risk, Investigations and Disputes practice at Duff & Phelps joins a panel discussion on the SEC’s Three Fiduciary Duty-Related Proposals, at the IA Watch Conference.
The panel will offer a high-level review of the most salient issues and decipher how the trio of proposals could change business models. They will also address ancillary proposals touching on federal licensing and continuing education, account statements delivery and meeting financial minimums.
Schedule: 10:00 a.m. – 10:45 a.m. (EST)
- Ken Joseph, Managing Director and Head of Disputes, Duff & Phelps
- Blaine Aikin, Executive Chairman, Fi360
- Todd Cipperman, Principal, Cipperman Compliance Services
Governance, Risk, Investigations and Disputes
Combined Duff & Phelps and Kroll disputes, investigations, cyber, business intelligence, cross-border restructuring and other advisory.Governance, Risk, Investigations and Disputes
Compliance and Regulatory Consulting
Local and global compliance expertise for the financial services industry.Compliance and Regulatory Consulting
Comprehensive support for asset managers registering in the U.S.U.S. Regulation
Assistance with complex securities litigation.Securities Litigation
Duff & Phelps advised on the recapitalization of
September 23-24, 2019 Hertfordshire