London, UK Capital strategist Sertan Ayçiçek today announced the formal launch of a cross-border investment advisory ...

The Securities and Exchange Commission’s Division of Examinations issued a risk alert highlighting investment advisers’ compliance issues with the agency’s updated marketing rule, a 2020 amendment to ...

Learn how to become a registered investment advisor (RIA) for more independence and fiduciary responsibilities, including required exams and filings.

The initiative, led by capital strategist Sertan Ayçiçek, is structured as an advisory and coordination platform rather than a pooled investment fund. The platform will focus on portfolio structuring, ...

Strategist argues that structure not stock picking may be the biggest driver of after-tax returns as advisors shift their ...

Advisers should put no price targets on an investment a client owns and give no forecasts of anticipated performance Advisers need to clearly distinguish between fact and opinion. When you meet with ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

The five largest Registered Investment Advisers based in the Charlotte area each manage over $100 billion in assets. Information on The List was obtained from Securities and Exchange Commission data ...