performance advertising

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  The IAA Compliance Conference, Pt. 1: What to Expect From Your Friends in DC

  By David Tittsworth, IAA  |  March 14, 2013

  At the Investment Adviser Association’s annual compliance conference, a look at the significant legislative, regulatory and policy developments now being pursued and what’s coming next, especially from the SEC.

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  SEC Lays Out Advisor Exam Priorities for 2013

  By Melanie Waddell, AdvisorOne  |  February 22, 2013

  The regulator's top concerns include new, never-regulated advisor registrants and dually registered advisors.

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  Social Media Is Hottest Compliance Topic for RIAs: Survey

  By Melanie Waddell, AdvisorOne  |  July 17, 2012

  Social media use among RIAs has shot up over the past year, with 80% of RIAs stating they have adopted formal written policies on social networking, according to the Investment Management Compliance Testing Survey.

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  Advertising Advisor Services and Credentials

  By Les Abromovitz  |  January 1, 2012

  Section 206 of the Investment Advisers Act contains the anti-fraud provision of the statute and ensures that RIAs’ advertising and marketing practices are consistent with the fiduciary duty owed to clients and prospective clients.   

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  Nothing but the Best Execution

  By Les Abromovitz  |  January 1, 2012

  Along with the many other fiduciary obligations owed by RIAs, firms owe a duty to seek best execution of clients’ transactions.  If they fail to do, RIAs violate Section 206 of the Investment Advisers Act.