Compliance Is Key to Independent Success

Nelson, Christina
March 2009
Journal of Financial Planning;Mar/Apr2009 Practice Management, p12
Academic Journal
The article discusses the manner in which owners of registered investment adviser (RIA) firms can ensure proper adherence to all matters related to compliance. The term compliance is defined in the article as adhering to, and demonstrating conformance with, a specific set of rules and standards. Topics of discussion include the need to be aware of compliance requirements, the vague language and instructions associated with such rules, and the nature of compliance regulations to grow and change as the need for new regulations grows.


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