Category: Investment Advisers

Why Should RIAs Hire a Law Firm for Their Compliance Needs?

Why Should RIAs Hire a Law Firm for Their Compliance Needs?

Common Misconceptions About a Broker Protocol Transition That Can Be Harmful

What are the Biggest Misconceptions About a Broker Protocol Transition?

When and How Must RIAs Register as an Investment Adviser With the SEC or any States?

When and How Must RIAs Register as an Investment Adviser With the SEC or any States?

https://brightstarlawgroup.com/compliance-program-mistakes-and-remedies/

TOP TEN MISTAKES WE SEE IN RIA COMPLIANCE PROGRAMS

Who should serve as CCO of your advisory firm?

WHO SHOULD SERVE AS CCO OF YOUR RIA?

Components of an Investment Adviser Compliance Program

What is an RIA compliance program?

COMMON MISTAKES WE SEE IN INVESTMENT ADVISORY CLIENT AGREEMENTS AND WHY THEY CAN COST A FIRM DEARLY

Top Mistakes Seen in RIA Investment Advisory Agreements

Corporate Transparency Act

What must RIAs do to Comply with the Corporate Transparency Act

What Must Investment Advisers Know About Selling Minority Stakes in Their Firms to Avoid Bad Outcomes?

How can RIAs Avoid Mistakes when Selling a Minority Ownership in Their Firms?

Legal Landmines for Transitioning to Independence

HOW CAN ADVISORS EFFECTIVELY NAVIGATE THE LEGAL LANDMINES ASSOCIATED WITH MAKING A TRANSITION TO INDEPENDENCE?

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