Category Archives: 404c compliance

The Little Known Win-Win Fiduciary “Gotcha”

Posted on January 25, 2011 by jwatkins

It is well-established that investment advisers are fiduciaries.  Fiduciary law is based primarily on principles developed under agency law and trust law.  When you mention fiduciary law, most people immediately think of the duty of loyalty, the requirement that a … Continue reading →

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A Pure Heart and an Empty Head Is No Defense

Posted on November 18, 2010 by jwatkins

Unbeknownst to many investment advisers, it is their responsibility to educate themselves as to applicable legal standards for their advisory practices.  Investment advisers affiliated with a broker-dealer often assume that the broker-dealer will keep them updated as to any compliance … Continue reading →

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