New York partner Kay Gordon sat on the panel at the Practicing Law Institute’s Fundamentals of Investment Advisor Regulation 2013 seminar on July 17. At the seminar, attendees received a solid foundation in the regulatory regime applying to investment advisors and examined how the Investment Advisers Act of 1940 and state securities laws interact in governing the advisory industry.

Kay’s panel was titled, “Regulation of Advisers (Part I): Attracting Clients and Establishing the Adviser-Client Relationship” The topics she discussed included;

  • The Advisers fiduciary duty; Conflicts of interest;
  • Referral arrangements;
  • Investment restrictions;
  • Advertising; and
  • Custody 
Source: Practicing Law Institute