From the May 2007 issue of Investment Advisor • Subscribe!

The U.S. Court of Appeals Decision

More On Legal & Compliance

from The Advisor's Professional Library
  • The Need for Thorough and Effective Policies and Procedures Whethere an advisor is SEC or state-registered, RIAs must revise their policies and procedures to address significant compliance problems occurring during the year, changes in business arrangements, and regulatory developments.
  • Regulatory Oversight of Investment Advisors Although the regulatory environment is in a state of flux, it is imperative that RIAs adhere to their compliance obligations. To ensure compliance, RIAs and IARs must fully understand what those obligations are.
Download a PDF of the U.S. Court of Appeals for the District of Columbia Circuit's ruling.
Reprints Discuss this story
This is where the comments go.