More On Legal & Compliancefrom The Advisor's Professional Library
- 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.
- 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.
The Committee will hold a hearing on June 16, 2010 at 2:00 pm in Dirksen 562. The title of the hearing is "The Retirement Challenge: Making Savings Last a Lifetime."