Compliance Survivor: Simplifying Complex Regulatory Concerns
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This document summarizes key regulatory issues and compliance concerns for investment advisory services, including the duty to disclose conflicts of interest and fees, lack of internal controls, record keeping requirements, suitability obligations, and specific concerns around bond recommendations, hedge funds, and customer complaints.
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Compliance Survivor: Simplifying Complex Regulatory Concerns
- 1. Compliance Survivor: Simplifying Complex Regulatory Concerns Illinois CPA Society: Investment Advisory Services/Personal Financial Planning Special Interest Group June 13, 2006 PRESENTED BY: James J. Eccleston and Jeffrey M. Gershon Shaheen, Novoselsky, Staat, Filipowski & Eccleston, P.C. Copyright 2006 by Shaheen, Novoselsky, Staat, Filipowski & Eccleston, P.C. All rights reserved.
- 2. We are a full service law firm dedicated to senior executives, business owners and high net worth individuals. WHO ARE WE? Founded in 1960. A-V Rated by Martindale-Hubbell.
- 4. Securities Law and Consulting We help you implement an effective compliance program…
- 5. Securities Law and Consulting … so you comply with rules and regulations and defend against regulators.
- 6. Securities Arbitration & Litigation We arbitrate, mediate and litigate regulatory, compliance, and breach of fiduciary duty matters…
- 7. Securities Arbitration & Litigation … so you recover investment losses and protect qualified retirement funds.
- 20. Record Keeping
- 38. NASD Complaints: Dispute Resolution Statistics SECURITY TYPES INVOLVED IN ARBITRATION CASES 460 Annuities 24 Limited Partnerships 1,348 Common Stock 2005 Type of Security
- 92. Questions ? NOTICE: The Internal Revenue Service requires us to state that advice contained in this document is not intended or written by the writer to be used, and cannot be used by the reader, for the purpose of avoiding penalties under the Internal Revenue Code.
- 93. THANK YOU JAMES J. ECCLESTON [email_address] JEFFREY M. GERSHON [email_address] 20 N. Wacker Drive Suite 2900 Chicago, IL 60606-9719 312.621.4400 312.621.0268 (fax) www.SNSFE-law.com www.FinancialCounsel.com Copyright 2006 by Shaheen, Novoselsky, Staat, Filipowski & Eccleston, P.C. All rights reserved.