No Skimping on Compliance

July 2009
Journal of Financial Planning;Jul2009, Vol. 22 Issue 7, p12
Academic Journal
The article presents the annual Investment survey conducted by ACA Compliance Group, regarding the compliance issue of financial advisory companies in the U.S. ACA found that there are about 15% of these companies have settled their compliance resources despite the global financial crisis. In addition, most of these firms have revitalized their disclosure sufficiency on their respective investment risk.


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