From the September 2010 issue of Investment Advisor • Subscribe!

Around The Blogosphere: A World View

More On Legal & Compliance

from The Advisor's Professional Library
  • Where Are We Headed? The ultimate compliance goal is to help ensure that everyone associated with an advisory firm acts ethically at all times.  Advisors and RIAs should do the right thing, even when regulators are not looking over their shoulders.
  • Updating Form ADV and Form U4 When it comes to disclosure on Form ADV, RIAs should assume information would be material to investors.  When in doubt, RIAs should disclose information rather than arguing later with securities regulators that it was not material.

If you still believe the world is flat, or that here in Fortress America we can ignore the rest of the world, stop reading now. If, however, you have come to realize through your own insight and your experience, say, of the last few years, that what happens beyond our borders has a significant impact for American businesses and American-domiciled stocks and bonds and American investors and, thus, American advisors, you could do much worse than to regularly peruse Economist.com and sign up for one of its many e-newsletters.

The online home of U.K.-based The Economist newspaper (that's what they call it and sure, it's a weekly and somewhat glossy news magazine, but it's got that foreign pedigree, you know, so it's a little quirky) is chock-full of intelligently written, thoughtfully argued news and analysis about the world's politics, economics, technological developments, and even social developments.

You could, of course, actually subscribe to the print publication, and there is content on Economist.com that is available only to print subscribers. That wouldn't be the worst way to spend your money, either, but I'd recommend Economist.com to get started.

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