FRT Insights: Understanding What it Means to be a Fiduciary - Insights from Former SEC Assistant Director

Knowing your role as a fiduciary is essential to maintaining your organization's financial and ethical accountability. Failure to fulfill this duty could expose you to unnecessary risk.


Conway Dodge, former Assistant Director in the Securities and Exchange Commission’s Division of Enforcement, focused on securities regulation and enforcement at the SEC for over 12 years. During his tenure, he led complex investigations into potential violations of U.S. securities laws and was instrumental in bringing the milestone case that marked the SEC’s first application of its new admissions policy, resulting in a settlement that included substantive admissions of wrongdoing by a prominent hedge-fund manager.


Listen to our on-demand webinar as Conway Dodge, Managing Director and Deputy Head of the Americas at Promontory Financial Group and Rob Adler, CEO at Financial Recovery Technologies discuss:

  • What does it mean to be a fiduciary? How do firms meet their fiduciary responsibilities?
  • How has the role of a fiduciary changed?
  • Impact of recent SEC leadership on settlements that may include admissions of wrongdoing
  • What to expect from current SEC leadership


Conway Dodge
Managing Director and
Deputy Head of the Americas

Promontory Financial Group

Rob Adler
Chief Executive Officer
Financial Recovery Technologies



FRT Insights
Webinar series providing unbiased insight exclusively for asset owners and asset managers.

Join your peers each quarter as we provide an unbiased and comprehensive overview of what is impacting shareholder litigation and how institutions can prepare, monitor and maximize this unique asset, including: 

  • Varied approaches to manage shareholder litigation through governance programs and corporate policies
  • Challenges of shareholder litigation in foreign (non-U.S.) jurisdictions
  • Emerging trends within the U.S. litigation market
  • And more