Investment Management Counsel Discusses Fiduciary Trends at Investments & Wealth Institute’s “Fiduciary Focus” Conference

On Nov. 13, investment management counsel David Tittsworth was a featured panelist at Investments & Wealth Institute’s “Fiduciary Focus” conference in Washington, D.C. Mr. Tittsworth’s panel was titled “Fiduciary Trends: Latest on Rules and Policy Initiatives in Washington Impacting Wealth Managers.” He was joined by former SEC Commissioner Richard Roberts, and Duane Thompson of Potomac Strategies.

The provided updates on the latest developments and implications of the DOL’s fiduciary rule and potential SEC fiduciary rulemaking, the SEC’s political transition during the past two decades, cybersecurity issues for the SEC and financial advisors, Form ADV changes, the SEC’s proposed business continuity and transition planning rule, and the SEC’s recent Risk Alert on performance advertising.