Dealing With Investment Errors: A US Perspective

March 25, 2013

No professional investment adviser would intentionally make a trade or investment error. However, such errors occur from time to time. Formulating an appropriate response to investment errors can be challenging for investment advisers, not only because there is no universally accepted definition of "investment error," but also because there is no bright line rule for identifying, rectifying or reimbursing advisory clients for investment errors.

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