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Expert Analysis

Confusion In SEC Conduct Standard For Investment Advisers

By Richard Marshall and David Dickstein ( June 21, 2019, 12:33 PM EDT) -- On June 5, 2019, by a vote of three to one, the U. S. Securities and Exchange Commission issued an interpretive release explaining an investment adviser's fiduciary duties to its clients. [1] The adopting release addresses both an investment adviser's duty of care and duty of loyalty as part of its fiduciary responsibilities.  . . .

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