TITLE

No Skimping on Compliance

PUB. DATE
July 2009
SOURCE
Journal of Financial Planning;Jul2009, Vol. 22 Issue 7, p12
SOURCE TYPE
Academic Journal
DOC. TYPE
Article
ABSTRACT
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.
ACCESSION #
43253457

 

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