A Primer on the Perils and Pitfalls of Referral Arrangements

Abstract

The Securities and Exchange Committee has, in the recent past and continues, to pay particular attention to referral arrangements. The rules concerning the appropriate types of referrals are complex and need to be examined and understood before entering such arrangements. This article explores those rules and also reviews the recent proceedings brought by the SEC. As such the article is a very handy reference when examining such arrangements.

Citation

RATH, G.F. and HANSEN, S.W. (2000), "A Primer on the Perils and Pitfalls of Referral Arrangements", Journal of Investment Compliance, Vol. 1 No. 2, pp. 23-28. https://doi.org/10.1108/eb045875