Election Impact 2012

More On Legal & Compliance

from The Advisor's Professional Library
  • Client Communication and Miscommunication RIA policies and procedures must specify what type of communications should be retained. The safest course of action is for RIAs to retain all communications—to clients, from clients, and about client accounts.  To comply with fiduciary obligations, communications must be thorough and not mislead.
  • Regulatory Oversight of Investment Advisors Although the regulatory environment is in a state of flux, it is imperative that RIAs adhere to their compliance obligations. To ensure compliance, RIAs and IARs must fully understand what those obligations are.

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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