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19 May 2009, 1:15 am
RIAs need to start looking for new regulatory and compliance personnel...and some attorneys as well. [read post]
7 Mar 2022, 10:31 am
This translates to fewer than 1 in 5 RIAs. [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]
19 Apr 2022, 6:03 am
The post RIA Advertising Rules May Impact New Client Presentations appeared first on RIA Compliance Blog. [read post]
2 Sep 2010, 4:00 am
Under the new laws, those RIAs who have more than $100 Million of client assets under management must be registered by the SEC. [read post]
28 Jan 2013, 11:00 am
The SEC inspections of RIAs have been showing that certain RIAs have poor controls in place. [read post]
21 Jul 2016, 7:02 am
This is the second post in a four-part series spotlighting Checkpoint by RIA. [read post]
15 Dec 2020, 12:49 pm
Continue reading › The post Growing RIAs Beware: SEC Issues Risk Alert Relating to Compliance Rule Failures appeared first on RIA Compliance Blog. [read post]
17 May 2008, 12:51 pm
[JURIST] A French court released a bank account belonging to Russian news agency RIA Novosti [media website] Friday. [read post]
16 Feb 2022, 6:13 am
RIA Checkpoint will be adjusting our current Checkpoint package. [read post]
4 May 2012, 6:00 am
Time will tell, but we are probably looking at another year of this debate before there is an SRO for RIAs. [read post]
4 Nov 2010, 1:57 pm
If you are an RIA, you might want to comment on this SEC study now while you can. [read post]
29 Oct 2012, 5:00 am
Bruce Kelley over at InvestmentNews.com reported last week that FINRA Dispute Resolution wil be opening its arbitration forum to handle disputes involving registered investment advisor (RIA) firms, provided that such RIA agreed to utilization of the forum. [read post]
21 Dec 2012, 9:00 am
RIAs are certainly in the cross-hairs of the SEC. [read post]
28 Jul 2016, 1:01 am
This is the third post in a four-part series spotlighting Checkpoint by RIA. [read post]
1 Feb 2012, 10:00 am
The staff cautions RIA firms to periodically evaluate their compliance procedures as to social media, and to monitor the effectiveness of such program. [read post]
11 Dec 2015, 11:05 am
In an industry that depends on trust and confidence, a lack of sufficient oversight leaves RIAs vulnerable to reputation risk.FINRA recently has pointed to a trend in the RIA industry which it calls a “regulatory arbitrage”. [read post]
16 Sep 2019, 11:43 am
This new Risk Alert encourages RIAs to revisit their policies and procedures designed to prevent violations of Advisers Act Section 206(3) and Rule 206(3)-2. [read post]
23 Feb 2015, 2:54 pm
We are pleased to share with everyone Josh Horn’s excellent guidance on RIA conflicts of interest, recently, published in the Practical Compliance and Risk Management for the Securities Industry, a professional journal published by Wolters Kluwer Financial Services, Inc. [read post]
21 May 2014, 10:49 am
SHANGHAI, May 21 (RIA Novosti) – Russia and China agreed on a long-term gas supply contract in Shanghai on Wednesday, after years of talks on the deal, worth billions of dollars. [read post]
