More On Legal & Compliancefrom The Advisor's Professional Library
- 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.
- Advertising Advisor Services and Credentials Section 206 of the Investment Advisers Act contains the anti-fraud provision of the statute and ensures that RIAs advertising and marketing practices are consistent with the fiduciary duty owed to clients and prospective clients.
In a field where they make up barely 25% of practitioners, women in wealth management are changing the style and tone of the profession. Securities and Exchange Commission Chairman Mary L. Schapiro heads the Top 50 Women in Wealth Management named by our sister publication Wealth Manager. in their May issue and she's certainly gotten the attention of columnnist Bob Clark, but she's not the only woman on the list worthy of attention.
Being named to the Top 50 is not about books of business or assets under management. Rather, the magazine looked for the leaders, influencers and mentors, in short women who excel in a profession where their influence belies their numbers.
You can read more of Kate McBride's interview with Mary Schapiro as well as profiles of some of the 49 other women on the list at wealthmanagermag.com.