Compliance Update in Plain English

Nelson, Christina
August 2011
Journal of Financial Planning;Aug2011, Vol. 24 Issue 8, p20
Academic Journal
The article discusses the essence of compliance to the laws and regulations of the financial planning field in the U.S. It highlights the Dodd-Frank Wall Street Reform and Consumer Protection Act as well as the fiduciary standards for all who provide retail investment advice and insights of investment advisers. It focuses on the practical aspects of compliance that requires consideration and action depending on the person's professional circumstances and provides a summary of proposals as the industry moves on to 2012 and financial planning profession continues to develop despite the financial crisis.


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