Updated Saturday, July 12, 2014 as of 2:05 AM ET
Practice - Regulatory/Compliance
Due Diligence, Best Practices Tips For RIAs
by: Larry Barrett
Monday, May 23, 2011
Print
Email
Reprints

SALT LAKE CITY -- While Congress, the SEC and individual states continue to work out the precise definition of a fiduciary and precisely what his or her requirements will be going forward, RIAs and other financial services professionals still need to take it upon themselves to implement best practices that will ensure they'll be in compliance whenever these new regulations are finalized.

Get access to this article and thousands more...

All On Wall Street articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, blog discussions, the iPad App, CE Exams, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our daily or weekly e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and growth strategies.

Already Registered?

(?) What Do You Think?

Has your firm recently updated its investment policy statement format to ensure full disclosure to clients and protection from possible litigation?

DISCUSS

Lists
Honoring the Top Branch Managers of 2013

Current Issue

The June Issue is now online!


TWITTER
FACEBOOK
LINKEDIN

Industry Events

August 10, 2014 |

September 9, 2014 |

September 17, 2014 |

Already a subscriber? Log in here