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3 Sep 2012, 11:57 am
If a sales representative of an RIA endorses a specific portfolio on his personal Facebook page, what ramifications could the RIA face? [read post]
8 Oct 2019, 8:53 am
As fiduciaries, RIAs must seek to avoid conflicts of interest with clients, and, at a minimum, must fully disclosure all material conflicts. [read post]
31 Oct 2012, 12:28 pm
A recent Investment News survey listing the largest RIAs by assets under management showed that there are a number of RIAs with assets under management of over a billion dollars. [read post]
31 Oct 2012, 12:28 pm
A recent Investment News survey listing the largest RIAs by assets under management showed that there are a number of RIAs with assets under management of over a billion dollars. [read post]
18 Feb 2022, 12:16 pm
Some RIAs provided refunds to certain clients but not others or delayed refunding the unearned fees. [read post]
13 Aug 2020, 2:08 pm
The SEC’s Office of Compliance and Inspections (“OCIE”), recently, issued an alert—more like a shot across the bow—to BDs and RIAs regarding its concerns over activities in the industry concerning the challenges encountered by COVID-19. [read post]
29 May 2012, 7:34 am
RIA (Datos) RIA está presente en 34 municipios, de los cuales Ecatepec y Nezahualcóyotl son los de mayor cobertura, con 9 centros cada uno. [read post]
15 Nov 2019, 3:10 pm
Additionally, third-party solicitors (i.e., those not affiliated with the RIA) must provide potential clients with both a copy of the RIA’s brochure and a separate written solicitor’s disclosure document. [read post]
15 Sep 2011, 9:44 am
As you would expect, Ketchum was in favor a a SRO for RIAs, and for FINRA being an SRO in that arena. [read post]
18 Mar 2012, 11:00 am
Descabe, no entanto, o seu manejo para a apuração de matéria de fato. [read post]
5 Nov 2009, 10:48 am
A spokesman said that the new unit is focusing on RIAs with a minimum of about $50 million of client assets. [read post]
15 Dec 2016, 6:26 am
Going by TPG’s May 2015 Form ADV, this RIA had about 280 clients, 852 accounts, and a total of $220 million in assets under management. [read post]
3 Jan 2017, 3:13 am
At the core of the charges were an RIA/BD, a President/CEO; a lawyer; and a wealthy widow. [read post]
17 Aug 2020, 12:52 pm
The post SEC Warns Brokers-Dealers, RIAs, about Misconduct during Pandemic Shutdown appeared first on The White Law Group. [read post]
11 Oct 2010, 5:40 pm
CWRU Law patrons have access to a comprehensive research service for federal (U.S.) taxation issues called RIA Checkpoint. [read post]
4 Aug 2011, 3:08 pm
Veja o detalhamento da proposta orçamentária encaminhada à presidenta Dilma Rousseff. [read post]
11 Jul 2016, 2:37 am
Do I Need to Notify the DOL About My RIA's Reliance on the Best Interest Contract Exemption? [read post]
11 Jul 2016, 6:24 am
Do I Need to Notify the DOL About My RIA's Reliance on the Best Interest Contract Exemption? [read post]
28 Mar 2012, 6:18 am
As autoridades sírias informam que combatentes bem armados mataram mais de 2 mil militares e agentes policiais da Síria. [read post]
26 Apr 2012, 5:00 am
McCarthy Propose Bipartisan Bill for More Effective Oversight of Investment Advisers Investment Adviser Oversight Act of 2012 (.pdf) Bachus bill backs SRO for RIAs— and it could be Finra by John Goff in Investment News [read post]
