More On Legal & Compliancefrom The Advisor's Professional Library
- Meeting and Exceeding Clients and Regulators’ Expectations Although it can be difficult, there are ways for RIAs to meet or exceed client expectations, increase customer satisfaction, and help firms retain current clients and attract new ones.
- 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 Commodity Futures Trading Commission introduced one interim final rule and two proposed rules on Oct. 1, 2010, the first rules coming out of the Dodd-Frank Wall Street Reform and Consumer Protection Act, reports Michael J. McFarlin of AdvisorOne.com’s sister publication, FuturesMag.com.
The new rules are designed to bring regulation to swaps and other derivatives, McFarlin writes.
In a separate article appearing in the October issue of Futures magazine, McFarlin wrote about an August 30 CFTC ruling on foreign exchange.