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Legal & Compliance CLE

February 27, 2013

Sutherland is hosting a CLE program on February 27, 2013 from 1 pm – 3 pm (ET) via teleconference. Topics to be covered will include:

  • Fiduciary Duty and Harmonization
  • Broker-Dealer Distribution
    o Suitability
    o Communications
    o Exams and Enforcement
  • Whistleblower Rules
  • Investment Adviser Compliance Challenges
    o Pay-to-Play
    o Compliance for Compliance
    o Exams and Enforcement
  • Municipal Advisers

If you are interested in participating, please contact Kara Kane at or 202-383-0569, and we will provide information how to attend. Up to 2 hours of CLE credit is available in NY and NJ and is pending in OH and PA. CLE credit amount and type are approximate and subject to change.

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Sutherland Asbill & Brennan LLP is an international law firm helping the Fortune 100, industry leaders, sector innovators and business entrepreneurs solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

click to watch Videocast: DOL Fiduciary Rule Litigation Impacts
Videocast: DOL Fiduciary Rule Litigation Impacts
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