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Erisa Rules For Investment Advisers In Maricopa
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State:
Multi-State
County:
Maricopa
Control #:
US-001HB
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FAQ
For example, an accountant who prepares financial plans is regulated by the state Board of Accountancy, and a financial planner who's also an investment adviser is regulated by the Securities and Exchange Commission or by the state where the adviser does business.
The SEC regulates investment advisers who manage $110 million or more in client assets, while state securities regulators have jurisdiction over advisers who manage up to $100 million.
The ERISA 3(38) advisor takes on the investment management role for your company in managing the investment options made available in your plan (full discretion of selection, ongoing monitoring and replacing of investments offered).
Who Regulates Them. The SEC regulates investment advisers who manage $110 million or more in client assets, while state securities regulators have jurisdiction over advisers who manage up to $100 million.
Yes – all of our financial advisors hold the required qualifications and abide by the standards set by the regulator, the Financial Conduct Authority (FCA).
Investment Advisers They're regulated by the SEC or state securities regulators.