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Provides legal support for retail Registered Investment Advisor (“RIA”) including review of client and vendor contracts, disclosure forms, and SEC filings; review of new products and services offered by the RIA; assistance in special investigations; support for operations, compliance and marketing departments; review of RIA advertising materials; support with respect to regulatory inquiries, exams, and investigations; and participates in long term and strategic planning matters. Direct contact with RIA leadership team. Prepares and/or reviews contracts such as selling agreements, loan agreements, and vendor agreements.

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Published at 28-01-2015
Viewed: 627 times