Investment Advisor August 2013





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  • The Cost of a Fiduciary Standard

    A uniform fiduciary standard implemented by the Securities and Exchange Commission would cost brokers a total of $8 million in new compliance costs: $3 million to update their up-front disclosure documents and another $5 million for the initial build-out of compliance systems and training, according to the Securities Industry and...

  • Wire Transfer Fraud Threat Is Very Real, Says Tom Giachetti

    It's real, dangerous and often overlooked by advisors. Where are regulators and law enforcement officials? “There’s not a whole lot they can do,” he says.

  • RIAs’ Top Compliance Goal: Social Media Policies

    Advisors are honing their social-media savvy, with nearly 83% of firms adopting formal social media policies this year—up from 64% in 2011 and nearly double the 43% of advisors who had such policies in 2010, according to a recently released compliance survey by the Investment Adviser Association, ACA Compliance Group...