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Regulation and Compliance > Federal Regulation

Potential compliance landmines

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Even for advisors who stick to the ethical high road, it doesn’t hurt to know where potential compliance landmines lurk. Here’s a look at several areas where it’s suggested they tread most gingerly:

  • Any products with which suitability is a common issue
  • Client privacy and security of data
  • Seminars
  • New products and instruments
  • Workplace investment advisory programs created by the 2006 Pension Protection Act