New Compliance and Liability White Paper

With the new year comes the renewal of the debate over one universal fiduciary standard for those providing investment advice to the public.  What many compliance professionals do not realize is that many jurisdictions already impose a fiduciary standard on investment advisers and stockbrokers alike based upon legislation and/or judicial decisions, the so-called Prudent Investment Adviser Rules.

In “Battle of the Best Interests: Closing Argument in People v. The Financial Services Industry and Congress,” I introduce some of the litigation strategies that I have used to address some of the key issues involved in the fiduciary debate.  Remember, my purpose in posting this blog is to help compliance professionals better protect themselves and the practices they work for.

Advertisements
This entry was posted in 401k compliance, 404c compliance, compliance, investments, retirement plans, RIA, RIA Compliance, securities compliance and tagged , , , , , , , , , . Bookmark the permalink.