Personal Financial Planning-Compliance - INVESTMENT ADVISER ADVERTISING - With investment adviser advertising heavily regulated, CPAs with advisory practices have to be cautious not to run afoul of SEC rules. This article describes the key provisions of the Investment Adviser Act concerning false and misleading advertising.
|Year of publication:||
Journal of accountancy : publication of the American Institute of Certified Public Accountants. - Jersey City, NJ : Inst., ISSN 0021-8448, ZDB-ID 2193590. - Vol. 196.2003, 5, p. 39-46
|Type of publication:||Article|
Carroll, Brian, (2003)
Personal Financial Planning - HOW TO PREVENT INVESTMENT ADVISER FRAUD - Under federal law investment advisers are fiduciaries and must disclose all potential conflicts of interest to clients. This article offers a practical approach to complying with these regulations. For CPAs who offer investment advisory services.
Carroll, Brian, (2006)
Personal Financial Planning - THE MUTUAL FUND TRADING SCANDALS - Scandals have changed the way mutual funds operate. In this article the special counsel to the SEC explains how the mutual fund industry got into trouble and the new rules designed to curb future abuses. For CPAs who offer investment advice.
Carroll, Brian, (2004)
- More ...