
Compliance Insights
Access compliance commentary from some of the industry’s leading consulting firms and attorneys. Clients can use their Schwab Advisor Center® credentials to download full white papers.
Featured topic
Best practices for advisory agreements
Advisory agreements between Registered Investment Advisers (RIAs) and their clients should aim to clearly describe the scope of the advisory relationship and the services to be provided. These agreements must comply with SEC and state securities regulations. What constitutes a best practice for advisory contracts is constantly evolving, however, as developments in the industry continually inform what is expected of the standard contract.
Our latest Compliance Review explains the legal requirements and other important provisions advisors should consider when drafting or updating their advisory agreements.

Compliance Reviews
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