Navigating the Regulatory Maze for Investment Advisors - Blog archives : Registered Investment Advisor (RIA) Compliance Consultants

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Monthly Archives July 2009

Join Us for a Webinar: Establishing & Supervising Solicitor Arrangements

Does your investment adviser act as a solicitor for another investment adviser or utilize a third-party as a solicitor of your investment advisory services? If so, your registered investment adviser firm could possibly face regulatory and civil liability risks due to the negligence, misconduct or fraud of this third-party. Learn how your registered investment adviser [...]

Posted by Bryan Hill

Thursday, July 30, 2009

Labels: Solicitors

SEC Proposes Ban of Political Contributions by Registered Investment Advisers Seeking to Manage Public Pensions

Earlier this week, the U.S. Securities and Exchange Commission (“SEC”) proposed a new rule prohibiting “pay to play” practices by SEC registered investment advisers seeking to manage money for state and local governments. The SEC explained that “[t]he measures are designed to prevent an [investment] adviser from making political contributions or hidden payments to influence [...]

Posted by Bryan Hill

Friday, July 24, 2009

Labels: Pensions, Political Contributions

Broker-Dealer Trade Group Supports Holding Registered Reps to Fiduciary Standard

The Securities Industry and Financial Markets Association (“SIFMA”) announced today that it supports the holding of broker-dealers and registered investment advisers to a new federal federal fiduciary standard when providing personalized investment advice. However, SIFMA noted that current standards and rules (apparently in lieu of a fiduciary standard) should apply to broker-dealers in those business [...]

Posted by Bryan Hill

Friday, July 17, 2009

Labels: Fiduciary



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* RIA Compliance Consultants, Inc. ("RCC") is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.

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