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Implementing a Fiduciary Standard and Beyond

On March 25, 2010, Ellen Bessner will be part of two panels at "The Fiduciary Standard and Beyond: Rethinking the Financial Advisor- Client Relationship," a conference sponsored by the Canadian Foundation for Advancement of Investor Rights and The Hennick Centre for Business and Law.

Ellen will be speaking on these Panels:

Lunch Panel with Keynote Speaker

Panel 4: Implementing a Fiduciary Standard and Beyond

This session will address the issues that would arise from the actual implementation of a fiduciary standard and/or other regulatory initiatives affecting the client-advisor relationship.

Topics to be discussed include:

• The debate over differing standards for broker-dealers vs. investment advisers in the U.S.
• The impact of a fiduciary standard on institutional investment management and the mutual fund industry.
• The place, if any, for a fiduciary standard within the context of a national securities regulator in Canada.

View:

• More information about the conference
• Conference Brochure

Ellen is a litigation partner who has developed a special niche representing investment dealers, mutual fund dealers, Portfolio Managers, compliance officers, branch managers/supervisors, and advisors in Ontario courts of all levels and at various regulatory tribunals, including IIROC, MFDA, OSC and FSCO. Ellen has been recognized by the MFDA as an independent consultant for testing and reporting purposes and has also been retained by software suppliers to support design efforts to reduce company risk.