Regulatory Complaints Are informative, But Often Too LateMani
Regulatory complaints don’t serve as a timely fire detector due to limited resources as against the large universe of managers and strategies, believe experts at Swiss Analytics. In their report titled “Regulatory cases: Accident Analysis of Three Regulatory Complaints,” Swiss Analytics emphasizes that an investment advisor’s registration with a regulator is no substitute for proper, proactive due diligence.
Regulatory complaints and inability to prevent damage
The Swiss Analytics report points out that regulatory complaints can usually only serve as an . . .
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