RIA Compliance
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RIA Compliance
News and best practices for your advisory firm's compliance program
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Private equity strikes again, this time quietly buying control of fi360 for $11.5 million | RIABiz

Private equity strikes again, this time quietly buying control of fi360 for $11.5 million | RIABiz | RIA Compliance | Scoop.it
Private equity strikes again, this time quietly buying control of fi360 for $11.5 million - Bluff Point Associates principals liked the recurring revenues and bright growth prospects...
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FINRA BrokerCheck or BrokenCheck?

FINRA BrokerCheck or BrokenCheck? | RIA Compliance | Scoop.it
FINRA BrokerCheck doesn’t supply investors with all of the information that they should be able to access.
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Arbour Group Highlights Compliance Analytics Offering at Predictive Analytics ... - MarketWatch (press release)

Compliance analytics solution from pharmaceutical industry.
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FINRA Reminds Investors to Look at Statements

FINRA Reminds Investors to Look at Statements | RIA Compliance | Scoop.it
FINRA urges investors to look closely and their statements and ask questions about anything they don't understand.
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SEC's Gallagher weighs exemptions from Dodd-Frank law - Reuters

SEC's Gallagher weighs exemptions from Dodd-Frank law - Reuters | RIA Compliance | Scoop.it
SEC's Gallagher weighs exemptions from Dodd-Frank lawReutersGallagher: Dodd-Frank imposed broad registration for advisers * Gallagher: SEC can use its authority to exempt some of those advisers * Gallagher: Registration creates enormous burdens for...
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The-Ethics-Dilemma - Financial Planning

The stakes are always changing in financial planning. Can advisors avoid compromising themselves?
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