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Drafting RIA Advisory Agreements: Best Practices And Essential Elements To Include

Nerd's Eye View

Advisory agreements for Registered Investment Advisers (RIAs) contain many sections that are important both for the purposes of complying with SEC and state securities regulations, and for constituting a valid agreement between the RIA and the client. The agreement should also lay out some acknowledgments for the client to review.

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Drafting RIA Advisory Agreements: Best Practices And Essential Elements To Include

Nerd's Eye View

Advisory agreements for Registered Investment Advisers (RIAs) contain many sections that are important both for the purposes of complying with SEC and state securities regulations, and for constituting a valid agreement between the RIA and the client. The agreement should also lay out some acknowledgments for the client to review.

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Weekend Reading For Financial Planners (May 6-7)

Nerd's Eye View

Also in industry news this week: Legislation working its way through Congress would allow for electronic delivery of documents to clients of advisors and other financial services firms by default, though it has been met with some opposition While RIAs have outpaced wirehouses in terms of client asset growth and headcount, industry consolidation has (..)

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Offering Tax Preparation As A Solo Advisor: How To Attain Designations And Create A Schedule By Next Tax Season

Nerd's Eye View

CPA, EA, or JD) to prepare tax returns and represent clients before the IRS, there has also been the impression that there is simply not enough time for one person to do both. Furthermore, similarly structuring the client service calendar for the remainder of the year to focus on specific topics at set times (e.g., Read More.

Taxes 246
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Weekend Reading For Financial Planners (March 23-24)

Nerd's Eye View

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the SEC has recently been cracking down on firms for recordkeeping failures related to electronic communications, including their use of text messaging with prospects and clients.

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Bharat Electronic’s Growth Story: Will a ?76,000 Crore Order Book Propel Future Success?

Trade Brains

Bharat Electronics: In the budget plan for the year 2023-24, the government increased the money allocated for defense to ₹5.94 lakh crore This increase in funding represented a positive outlook for companies like Bharat Electronics Limited (BEL), which creates advanced technology for our defense. lakh crore.

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SBF Arrested, Charged With Wire Fraud, Securities Fraud, Money Laundering

Mish Talk

A: No The crypto exchanges use paper ledgers or in the case of FTX, nothing at all for recording client funds. The software was intended to replace ASX's Clearing House Electronic Subregister System (CHESS) "to improve functionality and efficiency, and adopt global standards". What a hoot!