| The completely enhanced and updated Investment Advisor's Compliance Guide, 2nd Edition, provides authoritative but clear guidance on: |
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DOL and SEC fiduciary obligations |
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RIA advertising, including the use of client testimonials, credentials, and performance results |
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The use of today's top social media platforms |
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Client communications, including disclosures |
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Recent ethical decisions |
Designed to go far beyond basic compliance rules, The Investment Advisor's Compliance Guide will also help advisors avoid compliance issues, deal with client complaints, and grow their business with the confidence that their actions are well suited to withstand the strictest scrutiny from clients and regulators alike. |
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