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From the May 2007 issue of Investment Advisor • Subscribe!

The U.S. Court of Appeals Decision

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May 1, 2007 • Reprints

More On Legal & Compliance

from The Advisor's Professional Library
  • Anti-Fraud Provisions of the Investment Advisers Act RIAs and IARs should view themselves as fiduciaries at all times, whether they meet the legal definition or not.  Deviating from the fiduciary standard of full disclosure while courting clients may cause the advisor significant problems.
  • Whistleblowers A whistleblower is any individual providing the SEC with original information related to a possible violation of federal securities law.  The Dodd-Frank Act established a whistleblower program that enables the SEC to reward individuals who voluntarily provide such information.
Download a PDF of the U.S. Court of Appeals for the District of Columbia Circuit's ruling.
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