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.
- 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.
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.