Ken Joseph to Provide Insights on the SECs Fiduciary Duty Rule Proposals

Location The Harvard Club, New York

Calendar October 15, 2018

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.

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Schedule: 10:00 a.m. – 10:45 a.m. (EST)

Panel Includes:

  • Ken Joseph, Managing Director and Head of Disputes, Duff & Phelps
  • Blaine Aikin, Executive Chairman, Fi360
  • Todd Cipperman, Principal, Cipperman Compliance Services
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