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Navigating the Regulatory Landscape: A Guide for Registered Investment Advisers

Navigating the Regulatory Landscape: A Guide for Registered Investment Advisers

By Jaye Faggett

As a Registered Investment Adviser (RIA), staying compliant with regulatory requirements is crucial for the success and longevity of your business. This guide will walk you through the key aspects of RIA regulations in the United States, helping you navigate the complex landscape of compliance.

Key R...

31.08.24 02:01 AM - Comment(s)
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Understanding RIA Books and Records Requirements

By Jaye Faggett

As an investment adviser, maintaining proper books and records is not just good business practice—it's a legal requirement. The Securities and Exchange Commission (SEC) has established specific rules under the Investment Advisers Act of 1940 to ensure that advisers keep accurate and detailed records...

09.08.24 09:41 PM - Comment(s)
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5 Key Benefits of Partnering with an RIA Compliance Consultant

5 Key Benefits of Partnering with an RIA Compliance Consultant

By Jaye Faggett

Discover how partnering with an RIA compliance consultant can benefit your firm. This post outlines five key advantages, including expert guidance on regulations, time savings, risk reduction, tailored solutions, and audit support. Learn why RIAs choose consultants to streamline compliance efforts.
23.07.24 08:41 PM - Comment(s)
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Essential Tips for Newly Registered Investment Advisers

Essential Tips for Newly Registered Investment Advisers

By Jaye Faggett

Key tips for new investment advisers: Ensure compliance, uphold fiduciary duty, meet disclosure requirements, maintain records, prioritize cybersecurity, continue education, follow marketing rules, and conduct self-audits. Focus on these areas to build a successful and compliant advisory practice.
19.07.24 08:53 PM - Comment(s)
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