TITLE

Advisers and Compliance Officers Struggle to Find Common Ground

AUTHOR(S)
Lee, Shelley A.
PUB. DATE
June 2010
SOURCE
Journal of Financial Planning;Jun2010, Vol. 23 Issue 6, p20
SOURCE TYPE
Academic Journal
DOC. TYPE
Article
ABSTRACT
The article focuses on the differences between financial advisers and compliance officers in the U.S. Nancy Johnson-Jones, a compliance consultant, urges financial advisers to appreciate the important role played by compliance officers, which is to protect everybody's interests. The author explains that the role of the compliance department is to ensure that financial advisers will improve their practices and procedures. She cites the results of the survey conducted by the Financial Planning Association (FPA) which indicates that financial advisers complaint on paperwork they need to accomplish like client contracts, disclosures and manuals.
ACCESSION #
51316874

 

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