More On Legal & Compliancefrom The Advisor's Professional Library
- Nothing but the Best Execution Along with the many other fiduciary obligations owed by RIAs, firms owe a duty to seek best execution of clients transactions. If they fail to do, RIAs violate Section 206 of the Investment Advisers Act.
- Agency and Principal Transactions In passing Section 206(3) of the Investment Advisers Act, Congress recognized that principal and agency transactions can be harmful to clients. Such transactions create the opportunity for RIAs to engage in self-dealing.
Three experts in the field of technology and compliance will deliver half-day workshops in three cities in November, addressing how advisors can integrate their enterprise content management (ECM) software with their customer relationship management (CRM) software.
Hosted by Laserfiche and Junxure, the road show will hit San Francisco, Chicago and New York and will feature Tom Giachetti (left) of Stark & Stark (who writes the monthly Compliance Coach column for Investment Advisor), Tim Welsh of Nexus Consulting, and Greg Friedman of Private Ocean and Junxure.
Giachetti will speak about the latest compliance issues being faced by advisors in light of Dodd-Frank, while Welsh and Friedman will demonstrate the operations and compliance benefits of integrating Junxure’s CRM program with Laserfiche’s ECM software.
In late August, Junxure announced the rollout of a business consulting program to run in conjunction with its CRM program that focuses on training and implementation, while Laserfiche has recently expanded its overseas operations and announced a settlement of a lawsuit with SAP America which resolved Laserfiche’s use of the Run Smarter trademark.
In his most recent Compliance Coach column, Tom Giachetti writes about the implications of the SEC’s new definition of “family office.