Testimony of Chet Helck, Chairman-Elect, SIFMA and CEO, Global Private Client Group, Raymond James Financial, Inc. before the U.S. House Financial Services Committee for the hearing on H.R. 4624, The Investment Adviser Oversight Act of 2012.
Court: U.S. Court of Appeals (First Circuit) Amicus Issue: Whether financial advisors have fiduciary duty obligations that require investment managers…