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Review of Recent Regulatory Developments
Published in Investments & Wealth Monitor, November/December 2011

As the regulatory organizations charged with overseeing the financial services industry struggle to carry out recent legislative mandates, industry participants are left to figure out what the new requirements mean for their businesses and how they can best comply with the provisions. While industry regulators have been busy this past year, next year promises to be even busier as certain initiatives reach the implementation stage. This article focuses on the recent regulatory and legal developments that are most germane to the investment consulting industry. Read the article.