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Monthly Archives: August 2012
Conducting Due Diligence on Service Providers
It is part of your fiduciary duty as an investment advisor to perform due diligence in many areas of your practice. Performing due diligence is a review of all the material facts relative to a relationship, be it a consultant, … Continue reading
Use of “Unbiased”
Something I have been coming across frequently of late, the thought that as a fee-only RIA, the firm is unbiased and has no conflicts of interest. Let me be the one to dispel that thought – you do have biases … Continue reading
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Tagged compliance, IA regulations, Investment Advisor, rules, SEC regulations
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