Thompson Hine is pleased to share with you the latest episode of Market Matters, our podcast series that explores legal and regulatory issues affecting the investment management industry. This episode features Cassandra W. Borchers, a partner in the Investment Management practice group. She is joined by Todd Cipperman, founding principal of Cipperman Compliance Services. They will examine the 10 most significant trends that define the current investment management regulatory landscape. Their topics include:
- Investment advisers’ fiduciary responsibilities and the status of the DOL’s Fiduciary Rule and the SEC’s proposed Regulation Best Interest
This podcast is for informational purposes only. It provides general information and not legal advice or opinions regarding specific facts. You may not edit, modify or redistribute this podcast without permission.