More On Legal & Compliancefrom The Advisor's Professional Library
- RIAs and Customer Identification Just as RIAs owe a duty to diligently protect their clients privacy and guard against theft, firms also play a vital role in customer identification. Although RIAs are not subject to an anti-money laundering rule, securities regulators expect advisors to address these issues in their policies and procedures.
- Do’s and Don’ts of Advisory Contracts In preparation for a compliance exam, securities regulators typically will ask to see copies of an RIAs advisory agreements. An RIA must be able to produce requested contracts and the contracts must comply with applicable SEC or state rules.
The joint committee will focus on retail investor perspectives and the role exchange-traded funds (ETFs) may have played in the so-called "flash crash" on May 6. The meeting, which will be open to the public, will be held at the CFTC headquarters in Washington and will also be webcast on the CFTC's website.
Michael Mendelson, Principal, AQR Capital Management;
Noel Archard, Head of U.S. Products, Blackrock;
Charles Rotblut, Vice President and Editor, American Association of Individual Investors;
Chris Nagy, Managing Director, Order Routing Sales and Strategy, TD Ameritrade;
Kevin Cronin, Director of Global Equity Trading at Invesco; and
Pamela J. Craig, Chief Financial Officer, Accenture.