More On Legal & Compliancefrom The Advisor's Professional Library
- Preventing and Dealing with Client Complaints Although the SEC has not provided specific guidance on how client complaints should be handled, a firms policies and procedures should provide clear direction how to do so, as neglecting complaints can exacerbate a bad situation.
- Differences Between State and SEC Regulation of Investment Advisors States may impose licensing or registration requirements on IARs doing business in their jurisdiction, even if the IAR works for an SEC-registered firm. States may investigate and prosecute fraud by any IAR in their jurisdiction, even if the individual works for an SEC-registered firm.
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