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.
- Registration Requirements for Investment Advisor Representatives (IARs) When individuals launch an advisory firm, they must avoid marketing themselves or the firm as investment advisors before they are properly approved and registered. Otherwise, they are subject to severe penalties.
Research magazine is now accepting entries for both of its 2011 advisor recognition programs: The Advisor Hall of Fame, which has become a benchmark of excellence in the 20 years it has run; and its ETF Advisor Hall of Fame, now in its fifth year, which has profiled advisors who make extensive use of ETFs in constructing client portfolios and building their practices.
Advisor Hall of Fame entries must be received by Sept. 2, 2011. Candidates must have served a minimum of 15 years in the industry, acquired substantial assets under management and demonstrated superior client service. A distinguished panel of outside judges will select five advisors for the recognition, which will be featured in the December 2011 issue of Research.
ETF Advisor Hall of Fame entries must be received by July 20, 2011. Our judge, Research ETF columnist Ron DeLegge, will be seeking advisors for whom ETFs are a central focus of their financial services practices; who have a large portion of total AUM invested in exchange-traded products; and who creatively use these products through portfolios that can be mixed and matched to client needs.
Follow these links for more information on the Advisor Hall of Fame and the ETF Advisor Hall of Fame, and to submit your entries.