More On Legal & Compliancefrom 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.
- The Custody Rule and its Ramifications When an RIA takes custody of a clients funds or securities, risk to that individual increases dramatically. Rule 206(4)-2 under the Investment Advisers Act (better known as the Custody Rule), was passed to protect clients from unscrupulous investors.
Officials representing seven of the U.S. Department of Labor’s agencies—including the Employee Benefits Security Administration (EBSA)--will host live Web chats during the week of July 11 to discuss their respective regulatory agendas. These events will be open to the public
DOL’s collective regulatory agenda was made available on July 7 in the Federal Register.
To participate in the Web chats visit http://www.dol.gov/regulations/.
The various agencies’ web chat dates and times are as follows:
Monday, July 11
Office of Labor-Management Standards, 1–2 p.m. EDT
Occupational Safety and Health Administration, 2:30–3:30 p.m. EDT
Tuesday, July 12
Office of Federal Contract Compliance Programs, 1–2 p.m. EDT
Wednesday, July 13
Wage and Hour Division, 1–2 p.m. EDT
Thursday, July 14
Mine Safety and Health Administration, Noon–1 p.m. EDT
Employment and Training Administration, 1:30–2:30 p.m. EDT
Friday, July 15
Employee Benefits Security Administration, 2–3 p.m. EDT