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Articles tagged "Gronich"

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Zachary Gronich predicts a huge bottleneck in the annual registration process “as every RIA in the country will now have to rewrite the document that is at the heart of their business."

New regulatory world dawns with oppressive ADV Part 2 form

Advisors were expecting it -- but that doesn't make it any more pleasant

August 6, 2010 at 7:53 AM
Brian Davis: Start-up RIA firms tend to focus their efforts on client acquisition.

New RIAs gather assets more zealously than veterans

Established RIAs also more likely to report a decline in client base than newbies

December 28, 2009 at 4:44 AM
SEC Commissioner Luis A. Aguilar: These rules are a "Madoff fix."

SEC details new "Madoff fix" custody rules

Advisor groups relieved: no surprise audits for RIAs with third-party custodians

December 16, 2009 at 9:43 PM
Zachary Gronich: Make no mistake, the annual renewals are the most important on-going compliance issue.

The quick and easy route to getting your RIA license suspended

Renewal gauntlet begins next week with a moved-up deadline

November 6, 2009 at 5:05 AM
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