SEC may tackle RIAs claiming to have 'skin in the game'
Heed the cautionary tale of the recent $1.6 million settlement against an RIA and its affiliated B-D that falsely claimed they co-invested in a fund
Mike Byrnes
Les, thanks for the heads up! — Mike Byrnes, President of Byrnes Consulting, LLC, www.byrnesconsulting.com
PS tweeted it out at @byrnesconsultin.
Maria Marsala
Honesty is still a virtue to be dealt with :)
As we know, you can differentiate you firm … and be honest, too.
Related Moves
Biz Briefs: SEC cracks down anew on RIA reverse churning ~ Envestnet borrows $350 million to buy its own stock ~ Fidelity is creating a crypto waiting list while exec questions crypto ecosystem
Fed up SEC is ready to take on all nonsense at once; stock shocks, Orwell's new name game; Fidelity hosts a line dance
November 18, 2022 at 2:56 AM
NCS Regulatory Compliance
Consulting Firm
Top Executive: Mark Alcaide, COO/Partner
