Investment Management Counsel Discusses the DOL’s Pending Conflicts Of Interest Proposal

October 21, 2015

Investment management counsel David Tittsworth (Washington, D.C.) participated in Institutional Investor Legal Forum’s Fall 2015 Roundtable on Oct. 21. Mr. Tittsworth’s panel examined the Department of Labor’s fiduciary rule proposal. The Beyond the Hype panel, titled “Assessing the DOL Fiduciary Rule,” also discussed what the likely outcome of the rule would be, how the industry would be affected, and whether or not the SEC will step into the picture. 

The two-day roundtable brought together regulators, leading attorneys, and legal department leaders from some of the top asset managers from the United States and Europe. Other issues discussed included enforcement priorities and challenges, lessons from enforcement actions in the UK, global preparation for the MiFID regulations, and the examination priorities from OCIE in the coming year.