At an A4A webinar last Friday, I covered the major issues compliance RIAs need to know about to be prepared for a regulatory exam in 2014. The session covered a wide range of issues, including some sticky ones about how using an account aggregation application can trigger custody rules that are quite rigorous. Here's below are the questions and my answers. If you have follow up questions, please don't hesitate to post them here. (A4A members ($60 annually) can see a replay of the webinar now.)
Q: You talked about account aggregation apps unintentionally deeming an advisor to have
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