Kenneth L. Greenberg

Stradley Ronon partner Kenneth Greenberg will be a speaker during the Investment Adviser Association and COMPLY webinar titled “Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act” on August 14.

The session will explore the evolving fiduciary duties of investment advisers under Section 206 of the Investment Advisers Act of 1940 (Advisers Act), examining the various obligations an investment adviser owes to its clients due to the adviser’s fiduciary status and how fiduciary duties are enforced through the Advisers Act’s anti-fraud provisions  The session will also address the variety of conflicts of interests that investment advisers confront and some of the more expansive SEC rules promulgated pursuant to Section 206 that define the parameters of an adviser’s fiduciary duties, including Rule 206(4)-1, and Rule 206(4)-8 and their impact on marketing and communications.