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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]
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]
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]
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 2007, 6:09 am
Bill Singer, Shareholder in Stark & Stark's Securities Compliance & Arbitration Group, was quoted in Monday's Investment News article, Hey There Insurance Agent: We Can Make You An RIA. [read post]
