From Your Sponsor

Implementing Effective Email and Document Retention Policies and Procedures

Buying or Selling an Investment Advisory Firm: A Lawyer�s Perspective

The Evolution of Fiduciary Liability for Investment Losses � ERISA Plans, Non-Profits and Institutions

Avoiding Traps In your Transition: Negotiating Your Bonus Arrangement and Employment Terms When Moving to a New Brokerage Firm

Key Guidance on Hedge Fund Investing

Guests

Compliance Survivor: Simplifying Complex Regulatory Concerns

Protecting Yourself in Bull & Bear Markets: What Investors, Their Accountants and Advisors Should Know About Investment Product Suitability and Investment Abuse

The Court�s Rejection of the Broker-Dealer Exemption Rule (The So-Called �Merrill-Lynch Rule�): What Does This Mean For Investors and Financial Advisors?

The Top 10 Current Compliance Issue For Investment Advisers

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