ERISA Fiduciaries and the Securities Laws

May 3, 2016

One Liberty Plaza, New York, NY | 8:30 am


On May 3, 2016, Cleary Gottlieb presented “ERISA Fiduciary Regulation and the Securities Laws.”

This event was a comprehensive discussion of the interplay between the U.S. Department of Labor’s new fiduciary rule and securities industry regulation, including:

  • The impact on retail lines of business, including on compensation structures
  • The impact on institutional broker-dealer lines of business, including transactions in derivative products
  • The impact on the sale of alternative investment fund products, including private equity
  • The workability of the new Best Interest Contract Exemption

Panelists included:

  • Daniel M. Gallagher, former Commissioner of the Securities and Exchange Commission
  • Alan Beller, Robert Cook, and Edward Greene, current and retired Cleary partners, and former Senior Counsellor, General Counsel and Directors of the SEC’s Division of Trading and Markets, and Corporate Finance
  • Patricia Kuhn, Erin Miner, and Jesse Taran, in-house ERISA experts from BlackRock, Credit Suisse, and JPMorgan Chase


  • 8:30 am: Registration and breakfast
  • 9:00 am: Opening remarks
  • 12:30 pm: Lunch reception