More On Legal & Compliancefrom The Advisor's Professional Library
- Best Practices for Working with Senior Investors Securities examiners deal harshly with RIAs that do not fulfill their fiduciary obligations toward senior investors, as the SEC and state securities regulators view older investors as particularly vulnerable and in need of protection.
- Anti-Fraud Provisions of the Investment Advisers Act RIAs and IARs should view themselves as fiduciaries at all times, whether they meet the legal definition or not. Deviating from the fiduciary standard of full disclosure while courting clients may cause the advisor significant problems.
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