September 12, 2012

Election Impact 2012

More On Legal & Compliance

from 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 Need for Thorough and Effective Policies and Procedures Whethere an advisor is SEC or state-registered, RIAs must revise their policies and procedures to address significant compliance problems occurring during the year, changes in business arrangements, and regulatory developments.

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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