More On Legal & Compliance
from The Advisor's Professional Library- Code of Ethics Rule The Code of Ethics Rule, found in Rule 204A-1, uses severe consequences for violation to help ensure investment advisors will do the right thing.
- Updating Form ADV and Form U4 When it comes to disclosure on Form ADV, RIAs should assume information would be material to investors. When in doubt, RIAs should disclose information rather than arguing later with securities regulators that it was not material.
SEC Issues Worthless Warnings on Fund Performance Ads
Forbes.com writer Ahmed Taha analyzes the SEC's warnings to investors about not using a fund's past performance to predict future performance.
Active Management: Is It Time?
WealthManagerWeb.com writer J. Gibson Watson III shares points in favor of active portfolio management.
The Rise Of The Hedged Mutual Fund
Marc L. Ross, CFA, CFP, shares an introduction to hedged mutual funds at Investorpedia.com.
A Brief History of the Mutual Fund
James E. McWhinney offers an excellent summary of mutual funds' emergence and development.
In Pictures: 11 Faith-Based Mutual Funds and ETF Families
Forbes.com gives a great overview of this new development in an unusual format.
