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.
- Best Practices for Working with Senior Investors Securities examiners deal harshly with RIAs that do not fulfill their fiduciary obligations toward senior investors, as the SEC and state securities regulators view older investors as particularly vulnerable and in need of protection.
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.