September 12, 2012

Election Impact 2012

More On Legal & Compliance

from The Advisor's Professional Library
  • Conducting Due Diligence of Sub-Advisors and Third-Party Advisors Engaging in due-diligence of sub-advisors isn’t just a recommended best practice— it is part of the fiduciary obligation to a client. An RIA should be extremely reluctant to enter a relationship with a sub-advisor who claims the firm’s strategy is proprietary.
  • Recent Changes in the Regulatory Landscape 2011 marked a major shift in the regulatory environment, as the SEC adopted rules for implementing the Dodd-Frank Act.  Many changes to Investment Advisers Act were authorized by Title IV of the Dodd-Frank Act.  

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.

Reprints Discuss this story
This is where the comments go.