Tag Archives: retirement plans

Due Diligence Doldrums

Posted on June 3, 2011 by jwatkins

Whether you are a registered representative, an investment advisory representative, or both, you have a legal obligation to do your due diligence regarding the suitability of any investments you intend to recommend to your clients.  What many brokers and advisory … Continue reading →

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Investment Advisers and Outsourcing

Posted on April 20, 2011 by jwatkins

Outsourcing is definitely one of the hot topics with investment advisers.  Most investment advisers I talk to about outsourcing feel that outsourcing asset management and/or compliance responsibilities will allow them to concentrate more on building up their assets under management and, consequently, their fees. … Continue reading →

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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 →

Posted in 401k compliance, 404c compliance, compliance, investments, retirement plans, RIA, RIA Compliance, securities | Tagged , , , , , , , , | Leave a comment