Investment Advisor Compliance

Posted on May 2, 2005 by Stark & Stark
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The April edition of the Advisor, the journal of the National Association of Personal Financial Advisors, features a Q&A with Thomas Giachetti Chair of the Firm's Investment Adviser Regulation group. In the article, Mr. Giachetti discusses topics important to investment advisors such as required disclosures related to third-party providers, solicitation agreements and other issues related to compliance.

The National Association of Personal Financial Advisors is the nation's leading organization of Fee-Only comprehensive financial planning professionals.

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