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Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
Investment Advisor February 2008 Thomas D. Giachetti	Is an IPS the Answer? Investment Policy Statements can be helpful, but remember, longer documents aren't always better.
Investment Advisor June 2009 Thomas D. Giachetti	Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures.
Investment Advisor August 2006 Thomas D. Giachett	Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process.
Financial Advisor April 2004 David J. Drucker	Living With The Rules How to keep the SEC happy without going out of business.
Investment Advisor August 2005 Thomas D. Giachetti	Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.
Investment Advisor February 1, 2011 Thomas D. Giachetti	2011 Compliance Checklist Ten compliance issues registered advisory firms must consider in the new year.
Financial Planning September 1, 2006 Jane Worthington	Accounting for Compliance Instead of viewing compliance as a necessary evil, financial advisors should see it as a cost of doing business and learn how to quantify that cost.
Investment Advisor July 1, 2011 Thomas D. Giachetti	Are You Prepared for a Regulatory Exam? Learn the steps you need to take to prepare for a regulatory exam.
Financial Advisor March 2005 Tracey Longo	The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients.
Investment Advisor May 2010 James J. Green	Simple, Not Simplistic Tom Giachetti preaches a simple approach to compliance for advisors: Know what you need to do, but also what you don't need to do.
Investment Advisor January 2007 Melanie Waddell	Getting Compliance Help Now If you're one of those financial advisory firms that's still dithering on the sidelines hoping that your compliance program is up to snuff, it's time to get serious. A good place to turn for help is the Regulatory Compliance Association's new CCO University.
Investment Advisor February 2010 Chester Wright	Expert's Corner: Small, Yes, But Compliant How smaller RIA firms can shoulder the compliance burden.
Investment Advisor October 2007 Melanie Waddell	Making Compliance Headway Four years after the passage of the SEC's "compliance program rule," advisors are still grappling with exactly what their annual review process should entail.
Investment Advisor March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
Investment Advisor June 2006 Kathleen M. McBride	Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways.
Investment Advisor February 2008 Papa & Marks	The New Paradigm Integrating operations and compliance.
Investment Advisor October 2008 Bob Clark	The Real Deal MarketCounsel is focused on taking the independent advisory model to the next level.
Financial Advisor September 2005 Bruce W. Fraser	How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.
Investment Advisor September 2008 Philip Palaveev	B/D or RIA? How to Decide for Yourself To help make the decision between the registered independent advisor and broker/dealer approach, first ask yourself where you belong.
Financial Planning April 1, 2007 John J. Bowen	Policing Your Practice If you build an effective compliance system, your firm will be more appealing to both clients and buyers. Here's how to build a great compliance system.
Financial Planning October 1, 2005 Lisa Roth	When the SEC Comes Calling Advisers need to prepare for an SEC regulatory inspection this month. Here's why -- and how.
Financial Advisor June 2005 Raymond Fazzi	Regulatory Challenges Top Broker-Dealer Agenda Rarely has the potential of the financial advisory business, with a huge demographic wave of baby boomers approaching retirement, looked brighter. But never has the regulatory climate been more challenging.
Financial Planning October 1, 2010 Brian Hamburger	Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive.
Financial Advisor October 2004 Chaplin & Giachetti	Contingency Planning And Rule 206(4)-7 What must a financial advisor do to comply?
Wall Street & Technology August 27, 2004 Jessica Pallay	Building the Right Team With no sign of waning regulations, compliance officers remain essential to the architecture of the securities industry.
Investment Advisor March 2010 James J. Green	B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC.
Registered Rep. April 1, 2007	Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over.
Registered Rep. November 1, 2006 Susan Konig	A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules.
Financial Planning October 1, 2009 Nancy Lininger	What It Takes Compliance is top of mind at many firms today. Here's what makes a great compliance officer, no matter who takes the role.
Financial Advisor November 2010 David Lawrence	Back In The Fold? Will the new regulations force independents to return to broker-dealers?
Investment Advisor June 2010 Thomas D. Giachetti	Independence's Issues There are four main challenges faced these days by independent broker/dealers.
Investment Advisor May 2008 Melanie Waddell	Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.
Financial Planning May 1, 2012 Jennifer Woods Burke	Gotcha! Audits Get Tougher This year, the SEC and FINRA launched a webinar for firms detailing their expectations and reaffirming that whether a firm is large or small, regulators expect the same level of diligence when it comes to audits.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
Financial Planning September 1, 2006 David Spinar	Even the Playing Field Congress needs to standardize the regulations for investment advisors and broker-dealers.
Investment Advisor September 2010 Bob Clark	Clark at Large: Time to Represent, Advisor Leaders! Advisors can play a powerful role in the SEC's fiduciary deliberations, if they can get their leaders to lead.
Investment Advisor May 2008 Thomas D. Giachetti	Got Unhappy Clients? How to protect yourself from client complaints in volatile times.
Wall Street & Technology April 14, 2006 Govind Sandhu	Beyond Registration Persistent compliance efforts may be one of the most critical investments in the success of today's hedge funds.
Investment Advisor August 2010 Thomas D. Giachetti	The Compliance Coach: Independent Advisors: Don't Violate the Protocol There are two major issues for a registered representative to consider when deciding to leave a firm and go independent. The first is how to leave. The second is appropriate registration and ongoing regulatory complance requirements.
Registered Rep. February 1, 2006 Kristen French	Both Sides Now Brokers who hold dual licenses -- both the Series 7 and Series 65 licenses -- will have to take fiduciary responsibility on some accounts. But they can also sell investments, after they make it crystal clear that they're doing so.
Bank Director 2nd Quarter 2010 Jack Milligan	Knee Deep in Regulation As part of the fallout from the latest financial crisis, bankers are wading through new layers of regulation while scanning for clearer skies ahead.
Registered Rep. February 7, 2012 Diana Britton	Are Regulations Killing the Hybrid Financial Advisor? Some advisors say new compliance and regulatory burdens under Dodd-Frank are making the hybrid model untenable.
Bank Systems & Technology July 5, 2004 Cynthia Ramsaran	Dynamic Duo The CIO and CCO relationship is crucial in executing excellence in compliance.
Investment Advisor June 2008 Philip Palaveev	The New Model: The Fee-Only Broker/Dealer Independent broker/dealers must tackle head-on the causes of their frustration if they wish to survive.
Financial Advisor July 2008	Frontline News News of interest to the financial community: CFP Board's New Conduct Standards... SEC Examining More RIAs... Advisors Await Word On New Privacy Regulations... First Western Buys Fourth RIA Firm, Doubles Size...etc.
Wall Street & Technology March 1, 2004	Getting Management on Board With Compliance Compliance and litigation readiness have blasted up the priority list of top management. Leading financial institutions have appointed general counsel into top management roles. Boards of directors are reviewing and approving technology solutions.
Investment Advisor June 2006 Melanie Waddell	The Playing Field: Masters at the Helm Former SEC chairman Arthur Levitt and past NASD and Nasdaq Stock Market chairman and CEO Frank Zarb have joined a consulting firm's heavy hitters.
Financial Planning March 1, 2011 Donald B. Trone	All for One... A uniform fiduciary standard of conduct, coupled with harmonized regulations, should dramatically improve the process for investors.
Investment Advisor July 2009 Melanie Waddell	Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures.