Articles Posted in Industry News

This is the first of a two-part series dealing with the state-registered investment adviser industry.  In this first post we examine the landscape and discuss common deficiencies identified in state adviser examinations. Relevant statistics can be found in the North American Securities Administrators Association’s 2018 Investment Adviser Section Annual Report. …

On October 18, 2016, Parker MacIntyre hosted a seminar addressing legal issues that registered investment advisers (“RIAs”) often face, including developing cybersecurity guidance and implications of the new Department of Labor Fiduciary Rule.  The attendees consisted of sixteen individuals representing thirteen RIAs registered from around the southeast.  Both SEC-registered and…