Aggregated News From Investment Management Regulators

Compensating Third-Party Solicitors

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As registered investment advisers (“RIAs”) attempt to grow their businesses, they often consider whether to use third-party solicitors. RIAs must take care to understand the compliance obligations they will face when they choose to enter into a solicitation arrangement. The compliance obligations are complex, often dependent upon where the solicitor is located and the particular facts and circumstances surrounding the relationship, and they differ from state to state.

Read the full article from Securities Law Group here: http://tslg-law.com/compensating-third-party-solicitors/

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