Updated Tuesday, July 29, 2014 as of 8:46 AM ET
Practice - Regulatory/Compliance
Why Doesn't the RIA Community Come Up With Better Proposals?
Saturday, September 1, 2012
Partner Insights

When you look at the regulation of registered investment advisory firms, what do you see? You see a big pain in the neck. You see a whole lot of vague guidelines that are enforced subjectively when an examiner - who often knows nothing about your business - comes into your office. You see a fundamentally hostile relationship between regulator and regulated.

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