Mergers and Acquisitions Hit Hard by COVID-19
Between March and May, there were only 10 RIA transactions and two IBD deals, according to Fidelity.
Tag: registered investment advisers
Products
Practice Management
Investing
Compliance
Investment Product and Service Launches
RIA education organization rebrands; USCF adds nultiple ETPs to TD Ameritrade platform; Transamerica alters subadvisers, fees for Large Growth Fund; and more.
Registered Advisers Often Confused by Custody Reporting
Form ADV includes a number of questions about the custody of client assets; these questions continue to be a source of widespread confusion and inconsistent interpretations in the asset management industry.
Many Asset Managers De-Channel Their Salesforces
They see the differences between wirehouses, broker/dealers and registered investment advisers blurring.
Cybersecurity Is RIAs’ Biggest Compliance Concern
This is the fifth year in a row they have identified cybersecurity as their No. 1 concern.