TITLE

Checking a Box

AUTHOR(S)
Adkins, Rick
PUB. DATE
March 2013
SOURCE
Journal of Financial Planning;Mar2013, Vol. 26 Issue 3, p34
SOURCE TYPE
Academic Journal
DOC. TYPE
Article
ABSTRACT
The article discusses Form ADV, a form from the U.S. Securities and Exchange Commission (SEC) on which firms in the financial-services industry indicate the services they offer. The author notes that his own firm has become more careful about claiming expertise in a given area, but expresses doubt that others do the same. He suggests three questions related to computer software, clients, and client monitoring that the SEC could ask to ensure that a company claiming to offer financial-planning services actually does.
ACCESSION #
86445456

 

Share

Read the Article

Courtesy of THE LIBRARY OF VIRGINIA

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics