Bridge over ocean
25 August 2017 Comment Letter

Comment Letter on Proposed Model Rule Amendment to the Unethical Business Practices of Investment Advisers, Investment Adviser Representatives and Federal Covered Advisers

  1. Kurt Schacht, JD, CFA
  2. Linda Rittenhouse, JD

CFA Institute recommends that NASAA deem accessing client accounts online with unique client identifying information inadvisable, rather an official “unethical business practice” in its model rule.

Comment Letter on Proposed Model Rule Amendment to the Unethical Business Practices of Investment Advisers, Investment Adviser Representatives and Federal Covered Advisers
View Comment Letter
Publisher Information
CFA Institute

We're using cookies, but you can turn them off in Privacy Settings. Otherwise, you are agreeing to our use of cookies. Learn more in our Privacy Policy.