This copy is for your personal, non-commercial use only. To order presentation-ready copies for distribution to your colleagues, clients or customers, click the "Reprints" link at the top of any article.

From the April 2009 issue of Investment Advisor • Subscribe!

New DOL Regs

By

April 1, 2009 • Reprints

More On Legal & Compliance

from The Advisor's Professional Library
  • Dealings With Qualified Clients and Accredited Investors Depending upon an RIAs business model and investment strategies, it may be important to identify “qualified clients” and “accredited investors.”  The Dodd-Frank Act authorized the SEC to change which clients are defined by those terms.
  • The Few and the Proud: Chief Compliance Officers CCOs make significant contributions to success of an RIA, designing and implementing compliance programs that prevent, detect and correct securities law violations.  When major compliance problems occur at firms, CCOs will likely receive regulatory consequences.    
Department of Labor (Employee Benefits Security Administration, 29 CFR Part 2550, Investment Advice--Participants and Beneficiaries; Final Rule) regulations proposed in the Federal Register on January 21, 2009 can be downloaded here.
Related Articles
Comments

Advertisement. Closing in 15 seconds.