kaal:claim:2337268-037

Mandatory ethics codes, disclosures, and client consents are effective instruments for curtailing fraudulent practices by investment advisers.

Source quote, verbatim

Mandatory ethics codes, disclosures, and client consents can curtail fraudulent practices.

From

Wulf A. Kaal, Investment Adviser Regulation (2013), 9. Prohibited Practices, p. 21
https://ssrn.com/abstract=2337268 · source PDF

Cite as

Wulf A. Kaal, Investment Adviser Regulation (2013). SSRN: https://ssrn.com/abstract=2337268

Holds when

registered investment advisers subject to IAA compliance rules

Classification

designsupport: assertedcompliance

Verify

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