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.
- 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.
In the April issue of Investment Advisor we focused on wealth management and the special issues wealth managers face. Despite rising quickly through the ranks at Goldman Sachs, John Haase wanted something more and left to start his own practice.
Turmoil in the Middle East has investors worried about what the future holds for those countries. Undoubtedly, the MENA revolution will have immediate impact on investment, but the long-term repercussions are less clear.
April also brings the 2011 SMA Managers of the Year. Selected by Denver-based due diligence firm Prima Capital, this year's winners exemplify what it takes to be the best.
And, we have the final installment of Olivia Mellan's series on Transforming the Workplace. This month, learn how to rebuild trust between employees after it's been broken.
Click through the following slides to see all the April features.
John Haase had a good thing going at Goldman Sachs; a stratospheric rise through company ranks, ultra-high-net worth clients and the respect of his peers. It’s something from which most people would never leave. So why did he? Editor in Chief John Sullivan explains.
Savita Iyer-Ahrestani sits down with global investors to explain the effect regime changes in the Middle East and North Africa have on investors beyond those countries’ borders.
Extraordinary due diligence and a history of success set 2011’s best SMA managers apart from the crowd. Prima Capital, a Denver-based firm that conducts due diligence on SMA managers, joined with Investment Advisor to select the winners. Find out who won.
While the importance of trust in the workplace is universally understood, restoring it after it’s been broken is no easy task. Olivia Mellan talks with Dennis Reina, author of “Rebuilding Trust in the Workplace: Seven Steps to Renew Confidence, Commitment and Energy,” to find out how to do it.
Tony Davidow, Rydex|SGI’s new ETF strategist, is bringing his equal weight message to the masses. He shares that message with John Sullivan in this month's issue.
In the second installment of FA Insight's Growth By Design series, Eliza DePardo and Dan Inveen explain why advisors need to focus as much on accommodating demand as creating it in order to grow their firms.
AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC’s reports on an SRO and fiduciary standard, in Part II of this series.