The Prudent Investment Adviser Rule: Risk and Liability Management for Investment Fiduciaries
| Author | : | |
| Rating | : | 4.96 (710 Votes) |
| Asin | : | 1530333571 |
| Format Type | : | paperback |
| Number of Pages | : | 108 Pages |
| Publish Date | : | 2016-02-28 |
| Language | : | English |
DESCRIPTION:
Today's financial professionals face more legal challenges than ever before. "The Prudent Investment Adviser Rule" provides investment fiduciaries such as as financial advisers, investment advisers and 401(k)/pension plan sponsors with useful information and legal standards that they can use to help comply with current legal requirements, thereby helping them to avoid unnecessary and unwanted liability exposure for themselves and their company.
Great book should be mandatory reading for business owners with a 401k and those that sell 401k plans. Howard This book is a must read for business owners with a 401k and agents who sell 401ks, mutual funds and variable annuities. This book is not a hard read and the author is very skilled at communicating complex matters in simple to read English.
James W. . Mr. He serves as a CFP Ambassador for the CFP Board of Standards. He served as a securities officer/director at several broker-dealers, both in general securities and RIA compliance. He is a honor graduate of Georgia State University and a graduate of the University of Notre Dame School of Law. Watkins, III, is an attorney, CFP professional, and accredited wealth management advisor. Watkins has over thirty year
He is a honor graduate of Georgia State University and a graduate of the University of Notre Dame School of Law. . Watkins has over thirty years of experience in the areas of quality of investment advice and securities compliance. He is the owner of two successful blogs-"CommonSense InvestSense," which provides consumers with information to help them avoid investment fraud and better protect their financial security, and "The Prudent Investment Adviser Rule," which provides investment advisers and other investment fiduciaries with information to help them build and protect their practices. Mr. He serves as a CFP Ambassador for the CFP Board of Standards. About the Author James W. He served as the initial director of the Peer Review Department at the CFP Board of Standards and as the director of Financial Planning Quality Assurance for AXA Advisors. He served as a sec