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Does Your Advisory Agreement Agree With You? | RIA Central

By clarifying the exact nature and extent of the services rendered you can hopefully prevent unfounded expectations that the client may have. Properly drafted advisory agreements can enhance your p...
Compliance | RIA Central

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Disservice of Risk Tolerance Questionnaires | RIA Central

In Regulatory Notice 12-25, FINRA provides additional guidance on the issue of “suitability.” Specifically, they state “a broker must have a reasonable basis to believe that a . . . investment strat...