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Regulations Costing Investment Advisers
Over the last five years, compliance-related expenses for investment advisers have increased by 153%, according to a recent Rydex Advisor Benchmarking study. This increase is due to new regulations including developing written supervisory expenses.
Source: Financial Advisor, November 2004
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Sponsored by James J. Eccleston, an attorney representing stockbrokers, financial planners and
investors nationwide in arbitration, litigation and regulatory matters, and a shareholder with the law firm
Shaheen, Novoselsky, Staat, Filipowski & Eccleston
P.C.(www.snsfe-law.com). This Web site contains material
of general interest. It is neither intended to, nor constitutes, either legal advice or investment advice.
Always consult an attorney and/or investment advisor when building and protecting your wealth.
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