Compliance Considerations in an RIA Merger or Acquisition

Mergers and acquisitions of registered investment advisers set new records in 2019, with large-scale RIA moves suggesting a strong appetite for RIA consolidations by private equity. While the case to consolidate in today’s market is strong, failure to address regulatory compliance early on is a mistake that can impact best efforts. In this paper, Bates Compliance looks at the regulatory changes and due diligence considerations impacting the current wave of RIA mergers and acquisitions.

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