Investment Management Fiduciary Duties
BRG Capital Markets experts are qualified to provide expert analyses related to fiduciary duties pertaining to investment advisers, trusts, boards of directors, and retirement plans. Our professionals have provided investment and portfolio management analyses related to suitability obligations and have provided assessments of the adequacy of disclosures related to alleged breaches of fiduciary duties by investment advisers and trustees. They have expertise identifying and examining potential conflicts of interest related to all aspects of investment management; and expertise with regard to applicability of the Uniform Prudent Investor Act and the Prudent Investor Rule. BRG Capital Markets experts can provide an assessment of all investment management risks, including operational, investment, credit, legal and reputational, in order to ensure effective risk management controls and compliance process are in place.
Featured Case Study
Retained as a testifying expert and drafted an expert report evaluating the nature and extent of any suitability obligations and fiduciary duties that may have been owed by an SEC-registered broker-dealer and CFTC-registered Futures Commissions Merchant to its customers.