More On Legal & Compliancefrom The Advisor's Professional Library
- The Few and the Proud: Chief Compliance Officers CCOs make significant contributions to success of an RIA, designing and implementing compliance programs that prevent, detect and correct securities law violations. When major compliance problems occur at firms, CCOs will likely receive regulatory consequences.
- Risk-Based Oversight of Investment Advisors Even if the SEC had a larger budget and more resources, it is doubtful that the Commission would have the resources to regularly examine all RIAs. Therefore, the SEC is likely to continue relying on risk-based oversight to fulfill its mission of protecting investors.
Forbes.com writer Ahmed Taha analyzes the SEC's warnings to investors about not using a fund's past performance to predict future performance.
WealthManagerWeb.com writer J. Gibson Watson III shares points in favor of active portfolio management.
Marc L. Ross, CFA, CFP, shares an introduction to hedged mutual funds at Investorpedia.com.
James E. McWhinney offers an excellent summary of mutual funds' emergence and development.
Forbes.com gives a great overview of this new development in an unusual format.