Fiduciary Duties Applicable to Registered Investment Advisors and Broker/Dealers, DFW Compliance Roundtable

02.10.16

David F. Johnson and Andrew Rosell presented "Fiduciary Duties Applicable to Registered Investment Advisors and Broker/Dealers" to the DFW Compliance Roundtable on February 10, 2016. The DFW Compliance Roundtable is a group of compliance officers, in-house counsel and private practice professionals that work with and for registered investment advisers, broker/dealers and others in the industry. … Continue Reading

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