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26 Oct 2023, 7:00 am
The post SEC Announces Examination Priorities for 2024 appeared first on RIA Compliance Blog. [read post]
25 Oct 2023, 12:36 pm
LLC William Blair & Company LLC William Rodriguez Jessica Wade For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
25 Oct 2023, 8:05 am
For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
21 Oct 2023, 7:38 am
I had previously discussed the decision on a panel at UConn Law School, with Professor Katherine Franke (Columbia), Professor Craig Konnoth (UVA), and Ria Tabacco Mar of the ACLU. [read post]
20 Oct 2023, 2:40 pm
The Audit Rule requires RIAs to obtain annual audited financial statements for each of its fund clients. [read post]
11 Oct 2023, 8:36 am
Because the statute does not explicitly specify whether it applies only to post-RIA investors or also to pre-RIA investors, we are also providing guidance on how we interpret this new provision for pre-RIA investors upon regional center termination: We interpret INA 203(b)(5)(M) to apply to pre-RIA investors associated with a terminated regional center. [read post]
19 Sep 2023, 7:00 am
The post SEC FINES 9 RIAS FOR MARKETING RULE VIOLATIONS appeared first on RIA Compliance Blog. [read post]
14 Sep 2023, 6:33 am
Nine RIA Firms Fined $850K in Regulatory Sweep In a recent crackdown by the Securities and Exchange Commission (SEC), nine Registered Investment Advisory (RIA) firms reportedly have collectively been fined $850,000 for violating marketing rules. [read post]
13 Sep 2023, 8:22 am
The post SEC Provides Details on RIA Examination Program and Process appeared first on RIA Compliance Blog. [read post]
11 Sep 2023, 9:01 pm
Notably though, theAdopting Release states that there would be no basis for an enforcement action if an RIA cannot timely deliver the statement due to reasonably unforeseeable circumstances, as long as the RIA reasonably believed the statement would be distributed on time and the RIA delivers it as promptly as practicable. [read post]
8 Sep 2023, 12:51 pm
Ameriprise Financial Services is the second-largest independent broker-dealer and one of the largest registered investment advisors (RIAs) in the U.S. [read post]
5 Sep 2023, 6:29 pm
Etihad StadiumAuthor Cléria De Souza Licence CC BY 2.0 Source Wikimedia Commons Jane LambertPatents Court (Mr Justice Meade) AIM Sport Vision AG v Supponor Ltd and another [2023] EWHC 164 (Pat) (30 Jan 2023)In AIM Sport Vision AG v Supponor Ltd and another [2023] EWHC 164 (Pat) (30 Jan 2023), the claimant, AIM Sport Vision ("AIM"), accused the defendants, Supponor OY and Supponor Ltd. [read post]
5 Sep 2023, 7:00 am
The post SEC Fines Adviser Under New Marketing Rule appeared first on RIA Compliance Blog. [read post]
28 Aug 2023, 1:46 pm
A Seqüência Estudos Jurídicos e Políticos, Revista Qualis A1 na área do Direito e editada desde 1980 pelo Programa de Pós-Graduação Stricto Sensu em Direito da Universidade Federal de Santa Catarina (PPGD/UFSC), tem como objetivo central a divulgação acadêmica de temáticas que ofereçam uma abordagem marcadamente a partir do viés da teoria crítica do Direito e/ou das diferentes dimensões… [read post]
23 Aug 2023, 12:45 pm
If you’re asking about the nature of the guarantee that Prigozhin will be able to leave Russia — it is the word of the president,” Presidential spokesman Dmitry Peskov said Saturday in quotes carried by Russian state-controlled news outlet RIA Novosti. [read post]
22 Aug 2023, 7:34 pm
Pix Credit hereSpeeches sometimes tend to be deadly affairs. [read post]
4 Aug 2023, 8:13 am
SW Financial Jin Zhu Morgan Stanley Key Investment Services LLC For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
3 Aug 2023, 7:00 am
The post SEC Proposes Amendments to the “Internet Adviser” Basis for SEC Registration appeared first on RIA Compliance Blog. [read post]
23 Jul 2023, 7:04 am
Zhuravlev and one other were a wartime correspondents for RIA Novosti, a state-owned Russian news agency. [read post]
21 Jul 2023, 6:40 am
-by Ria Severance, LMFT © April, 2023 Coaching for Mediations/Collaborative Divorces Points of Coaching for Any Negotiations: In Mediations/Collaborative Divorces, We’re transparent in all financial matters . . . this is legally required in all divorce processes. [read post]
