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Fiduciary Standards

Applies investment adviser and ERISA fiduciary duties.

/fiduciary-standardsJoelLewis/finance_skills

More in Legal & compliance

  • Client DisclosuresGuide investment adviser and broker-dealer disclosures.
  • Conflicts Of InterestIdentifies, discloses, and mitigates advisor conflicts of interest under Reg BI.
  • Examination ReadinessPrepare for and respond to SEC and FINRA regulatory examinations across the full exam.
  • Fee DisclosureChecks whether fee and cost disclosures are complete, accurate, and not misleading.
  • Gips ComplianceEnsure firms claiming GIPS compliance under the CFA Institute Global Investment.
  • Investment SuitabilityAssess investment suitability obligations under FINRA Rules 2111 and 2090 across all.
  • Know Your CustomerGuides customer ID checks and due diligence under FINRA and FinCEN rules.
  • Post Trade ComplianceDesigns trade surveillance alerts that catch churning, front-running, and cherry-picking.