Election Impact 2012

More On Legal & Compliance

from 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 firm’s policies and procedures should provide clear direction how to do so, as neglecting complaints can exacerbate a bad situation.
  • Books and Records Rule Thorough and complete books and records enable RIAs to demonstrate that they have fulfilled their fiduciary obligations to clients and complied with applicable rules and regulations.

Check out AdvisorOne's Election Impact 2012 home page, which offers ongoing, unique insights on topics of interest to advisors and their clients throughout the campaign and its aftermath by our team of reporters and columnists.

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