4 thoughts on “The role of the US SEC regulatory RIA license?”
Judith
Daily Science: What is the US SEC RIA license
The US Securities Regulatory Commission SEC RIA (Advisor) license is the US registered investment consultant. Trading Commission (SEC) or state securities department supervision. SEC, as the highest organ of the US securities industry, is used to protect investors' independent federal agencies through supervision and trading activities. Founded by the US Congress, responsible for supervising the securities market and protecting the interests of investors. In in the United States, only institutions or individuals with RIA licenses are eligible to provide investors with investment services for securities products, and regularly provide investment reports. At the same time Essence The scope of securities investment recommendations is quite extensive in the United States, including the asset management, account management and wealth management service of the entire securities market
Overview of the American SEC RIA license SEC's approval of RIA is quite rigorous, funds Managers need to pass the SERIES65's investment consultant test (holding CFA and PFS and other licenses can be exempted from the test). On this basis, it also needs to manage the size of more than $ 100 million in assets in order to register at SEC (asset management is registered in the state by $ 25 million to $ 100 million in assets). First of all, we must maintain integrity with customers, information disclosure needs to be fully disclosed, and selflessly provide appropriate investment suggestions. Secondly, the management of assets needs to pass third -party institutions, which requires notifications and recognition from customers. In addition, the SEC will regularly supervise and inspect RIA. It is mainly concentrated in the risk supervision of the valuation, performance and asset review of the investment portfolio; the legality supervision of whether it provides effective compliance policies and procedures; and the notice of the inspection results. Overseas investment institutions need to obtain RIA licenses through such rigorous review and supervision. Therefore, for investment institutions that have obtained this qualification in China, the platform's investment is obvious and reliable. Under the influence of world global development, more investors tend to entrust assets to management to professional overseas investment institutions. The RIA license under the supervision of the US Securities and Exchange Commission (SEC) is the basic guarantee for investors when choosing overseas investment institutions.
The Securities Industry American SECRIA Investment Consultant License
SEC (U.S. Exchange) US Securities Exchange Commission is an independent quasi -judicial institution directly under the US Federation. Supreme institution. The 4431 (SEC) of the US 158 Securities Trading 6917 Board has quasi -legislative power, quasi -judicial power, and independent law enforcement power, which is equivalent to a top department that independent of the US Congress. It is the United States, and even the highest global financial sector.
SEC RIA licenses business scope large multinational financial investment companies will apply for SEC RIA (ADViser, RIA) license in the United States. It is a large multinational investment bank, as well as large exchanges or trading institutions such as securities, futures, funds, foreign exchange. RIA licenses are regulated by the US Securities and Exchange Commission (SEC) or state securities department. In the United States, only by becoming a registered investment consultant (RIA) is eligible to provide investors with investment analysis suggestions for securities products, and regularly provide investment reports. Only institutions that obtain this qualification can charge the corresponding management fee and bear the responsibility for the client.
The well -known institutions took SEC members: (BROKERS) Jiawei Securities (, LLC) Pinbase China's largest digital currency investment community TokenClub (wholly -owned acquisition of New Engine consulting company) Creditible wealth et al.
Hello SEC's full name US Security Exchange US Securities Exchange Commission. Similar to the domestic Securities Regulatory Commission, if the company is preparing to go public on the US Stock Exchange, it needs to be approved at the Securities Commission SEC in the United States. (Compared with the domestic Securities Regulatory Commission, the SEC has the issuance of the registration system, that is, the SEC is just reviewing the complete and accuracy of the materials submitted by the listed company and further saving the due diligence of the listed company and leaving the end of the choice to the market to the market. .)
RIA licenses are regulated by the US Securities and Exchange Commission (SEC) or state securities department. In the United States, only by becoming a registered investment consultant (RIA) is eligible to provide investors with investment analysis suggestions for securities products, and regularly provide investment reports. Only institutions that obtain this qualification can charge the corresponding management fee and bear the responsibility for the client. Fund managers who usually apply for registered investors must pass the corresponding license test, that is, the investment consultant exam. . Advantages of the US SEC RIA license 1. Regulatory authority is authoritative: The US Securities Regulatory Commission SEC is an independent organ and quasi -judicial institution directly under the US federal government. Industry high regulatory agency. 2. Wide business scope: Whether it is a digital currency company or a foreign exchange platform enterprise, in order to expand the globalization business, build a complete trading system, and attract more customers, SEC's supervision is a must -have for industry leaders. 3, high gold content: as the leader of foreign exchange transactions, the United States Jiasheng Group, Yingyou Securities, IG and FXCM Fuhui are all under the supervision of SEC. Essence 4. High cost performance: The US Securities Regulatory Commission SEC RIA license has no monthly, no margin requirements, and there is no pressure in the later operation and maintenance. Compared with some small island national licenses, the cost performance is very high. . The registration and application information of the RIA license: 1, the appointment letter of the license license; 2, the company's file: ; The director of directors; company business description reports; 3. System report: The webcrd/IARD system of the Registered Financial Industry Management Committee; Report; Filling the SEC questionnaire survey report; statement of proxy application; other information such as compliance reports.
As one of the important licenses under the SEC supervision, RIA (ADVISOR) is the US registered investment consultant. As a license to apply for a company specializing in investment consulting business.
Daily Science: What is the US SEC RIA license
The US Securities Regulatory Commission SEC RIA (Advisor) license is the US registered investment consultant. Trading Commission (SEC) or state securities department supervision. SEC, as the highest organ of the US securities industry, is used to protect investors' independent federal agencies through supervision and trading activities. Founded by the US Congress, responsible for supervising the securities market and protecting the interests of investors.
In in the United States, only institutions or individuals with RIA licenses are eligible to provide investors with investment services for securities products, and regularly provide investment reports. At the same time Essence The scope of securities investment recommendations is quite extensive in the United States, including the asset management, account management and wealth management service of the entire securities market
Overview of the American SEC RIA license
SEC's approval of RIA is quite rigorous, funds Managers need to pass the SERIES65's investment consultant test (holding CFA and PFS and other licenses can be exempted from the test). On this basis, it also needs to manage the size of more than $ 100 million in assets in order to register at SEC (asset management is registered in the state by $ 25 million to $ 100 million in assets). First of all, we must maintain integrity with customers, information disclosure needs to be fully disclosed, and selflessly provide appropriate investment suggestions. Secondly, the management of assets needs to pass third -party institutions, which requires notifications and recognition from customers.
In addition, the SEC will regularly supervise and inspect RIA. It is mainly concentrated in the risk supervision of the valuation, performance and asset review of the investment portfolio; the legality supervision of whether it provides effective compliance policies and procedures; and the notice of the inspection results. Overseas investment institutions need to obtain RIA licenses through such rigorous review and supervision. Therefore, for investment institutions that have obtained this qualification in China, the platform's investment is obvious and reliable. Under the influence of world global development, more investors tend to entrust assets to management to professional overseas investment institutions. The RIA license under the supervision of the US Securities and Exchange Commission (SEC) is the basic guarantee for investors when choosing overseas investment institutions.
The Securities Industry American SECRIA Investment Consultant License
SEC (U.S. Exchange) US Securities Exchange Commission is an independent quasi -judicial institution directly under the US Federation. Supreme institution. The 4431 (SEC) of the US 158 Securities Trading 6917 Board has quasi -legislative power, quasi -judicial power, and independent law enforcement power, which is equivalent to a top department that independent of the US Congress. It is the United States, and even the highest global financial sector.
SEC RIA licenses business scope
large multinational financial investment companies will apply for SEC RIA (ADViser, RIA) license in the United States. It is a large multinational investment bank, as well as large exchanges or trading institutions such as securities, futures, funds, foreign exchange.
RIA licenses are regulated by the US Securities and Exchange Commission (SEC) or state securities department. In the United States, only by becoming a registered investment consultant (RIA) is eligible to provide investors with investment analysis suggestions for securities products, and regularly provide investment reports. Only institutions that obtain this qualification can charge the corresponding management fee and bear the responsibility for the client.
The well -known institutions took SEC members:
(BROKERS)
Jiawei Securities (, LLC)
Pinbase
China's largest digital currency investment community TokenClub (wholly -owned acquisition of New Engine consulting company)
Creditible wealth et al.
Hello
SEC's full name US Security Exchange US Securities Exchange Commission. Similar to the domestic Securities Regulatory Commission, if the company is preparing to go public on the US Stock Exchange, it needs to be approved at the Securities Commission SEC in the United States. (Compared with the domestic Securities Regulatory Commission, the SEC has the issuance of the registration system, that is, the SEC is just reviewing the complete and accuracy of the materials submitted by the listed company and further saving the due diligence of the listed company and leaving the end of the choice to the market to the market. .)
RIA licenses are regulated by the US Securities and Exchange Commission (SEC) or state securities department. In the United States, only by becoming a registered investment consultant (RIA) is eligible to provide investors with investment analysis suggestions for securities products, and regularly provide investment reports. Only institutions that obtain this qualification can charge the corresponding management fee and bear the responsibility for the client. Fund managers who usually apply for registered investors must pass the corresponding license test, that is, the investment consultant exam.
. Advantages of the US SEC RIA license
1. Regulatory authority is authoritative: The US Securities Regulatory Commission SEC is an independent organ and quasi -judicial institution directly under the US federal government. Industry high regulatory agency.
2. Wide business scope: Whether it is a digital currency company or a foreign exchange platform enterprise, in order to expand the globalization business, build a complete trading system, and attract more customers, SEC's supervision is a must -have for industry leaders.
3, high gold content: as the leader of foreign exchange transactions, the United States Jiasheng Group, Yingyou Securities, IG and FXCM Fuhui are all under the supervision of SEC. Essence
4. High cost performance: The US Securities Regulatory Commission SEC RIA license has no monthly, no margin requirements, and there is no pressure in the later operation and maintenance. Compared with some small island national licenses, the cost performance is very high.
. The registration and application information of the RIA license:
1, the appointment letter of the license license;
2, the company's file:
;
The director of directors;
company business description reports;
3. System report:
The webcrd/IARD system of the Registered Financial Industry Management Committee; Report;
Filling the SEC questionnaire survey report;
statement of proxy application;
other information such as compliance reports.
As one of the important licenses under the SEC supervision, RIA (ADVISOR) is the US registered investment consultant. As a license to apply for a company specializing in investment consulting business.