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

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.

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