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Content tagged "RIA IN A BOX"



LInda Cena: Michigan's top RIA regulator, says one advisor recently told her, "Unless we have a direct connection with God, we’re not going to complete all the ADV forms."

(Updated) RIAs stumble at ADV form goal line
SEC's still mum about what will happen to procrastinators; states adopting laidback approach

Monday 4.4.11
Zachary Gronich: "For the state registered people, I’m not really seeing any outrageous new costs beyond that new ADV 2a/2b.”

New Fidelity survey shows advisors are running scared about compliance costs
RIAs, compliance experts and a research group diverge wildly on future costs but a baseline increase in the single-digit thousands seems inevitable

Monday 3.7.11
Brian Hamburger: The SEC is lining up the facts so that later the conclusion becomes obvious (it can’t regulate advisors with current resources). ... It’s genius, what they’re looking to do, but it’s incredibly transparent.

The RIABiz list of winners and losers in the wake of the SEC's fiduciary study
The race is on as laggards adapt to new vision of the future

Friday 1.28.11
Andrew Fotopulos: Advisers seem a lot more anxious to obtain coverage at this time.

Why RIA demand for E&O insurance is booming and premium prices are [thankfully] plummeting
A plethora of new carriers is a big boon at a time when regulators 'circle like sharks'

Wednesday 11.17.10
Denise Voigt Crawford: Advisors who haven't had an SEC audit recently -- or ever -- should expect an examiner's knock on the door soon after they switch to state oversight.

What advisors should know about the next sweeping change: the switch from SEC oversight to state regulation
It could impose most on advisors spread out across multiple states

Wednesday 8.25.10
Welcome an auditor with a smile

14 tips for how to act when the SEC auditor is in your office
No need to be a doormat but treat the visitor as a guest

Thursday 1.14.10
Hovig Melkonian: This is exactly how an auditor wants him: flustered

Elizabeth witnesses a mock audit first hand and feels the advisor's pain
Mock audits are in hot demand because they cut back on regulatory blindsiding

Wednesday 1.13.10
Brian Davis: Start-up RIA firms tend to focus their efforts on client acquisition.

New RIAs gather assets more zealously than veterans
Established RIAs also more likely to report a decline in client base than newbies

Monday 12.28.09
SEC Commissioner Luis A. Aguilar: These rules are a "Madoff fix."

SEC details new "Madoff fix" custody rules
Advisor groups relieved: no surprise audits for RIAs with third-party custodians

Wednesday 12.16.09

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