Happenings on the Hill
2010 2011 Regulation and compliance are two of the most…
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| Regulation and compliance are two of the most important subjects affecting financial advisers, broker-dealers and the firms that provide products and services to the entire financial community. The Sarbanes-Oxley Act, the USA Patriot Act and anti-money-laundering bills have imposed stricter disclosure requirements on financial services companies, heightening the attention being given to the compliance issues. The InvestmentNews Regulatory Alert will keep financial advisers up-to-date on the progress of important legislative issues and explain the impact they will have on their clients and their business in general. Targeted Circulation Advertising Opportunities Pricing Leaderboard and M-rec
*Source: CheetahMail. Figure as of September 30, 2009. | ||||||||
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| Regulation and compliance are two of the most important subjects affecting financial advisers, broker-dealers and the firms that provide products and services to the entire financial community. The Sarbanes-Oxley Act, the USA Patriot Act and anti-money-laundering bills have imposed stricter disclosure requirements on financial services companies, heightening the attention being given to the compliance issues. The InvestmentNews Regulatory Alert will keep financial advisers up-to-date on the progress of important legislative issues and explain the impact they will have on their clients and their business in general. Targeted Circulation Advertising Opportunities Pricing Leaderboard and M-rec
*Source: CheetahMail. Figure as of September 30, 2009. | |||||||||||
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