More On Legal & Compliance
from The Advisor's Professional Library- Preventing and Dealing with Client Complaints Although the SEC has not provided specific guidance on how client complaints should be handled, a firm’s policies and procedures should provide clear direction how to do so, as neglecting complaints can exacerbate a bad situation.
- How to Avoid Sabotaging Your Compliance Exam There is much more to compliance examination survival than knowing all of the rules. It helps to understand why the rules were put in place—and to recognize that examiners are not the enemy.
Just after a Feb. 10 panel and Webcast discussing the SEC’s “Study on Investment Advisers and Broker-Dealers,” hosted by the Center on Financial Services Law at New York Law School, and The Committee for the Fiduciary Standard, keynote speaker Tom Bradley, president of TD Ameritrade Institutional, spoke with AdvisorOne's Kate McBride about what the fiduciary standard means to advisors and investors. Bradley also explained what RIAs are telling him about who should regulate them as the SEC struggles over resources.
The event brought together James Fanto, professor, Brooklyn Law School; Thomas Selman, EVP, Regulatory Policy, FINRA; Michael Koffler, partner, Sutherland Asbill & Brennan; Robert Colby, partner, Davis Polk & Wardwell and a former SEC deputy director of Market Regulation; and Knut Rostad, chairman, The Committee for the Fiduciary Standard and regulatory and compliance officer at the RIA Rembert Pendleton Jackson. Tara Siegel Bernard, personal finance reporter at The New York Times, moderated the panel.
In separate interviews, Fanto and Rostad also talked with AdvisorOne’s McBride.
View the Fanto interview.
View the Rostad interview.
View the Panel Webcast.
