Richard matta_ groom law group

Richard K. Business brokers ohio Matta is a principal at Groom Law Group, Chartered, where he advises clients with respect to the structuring and marketing of investment products and financial services to 401(a) tax-qualified retirement plans, VEBAs, 403(b) and 457 plans, IRAs and other tax-exempt investors. His practice focuses on the intersection of ERISA Title I (and similar laws regulating govermental plans) with securities, tax, corporate, banking and other applicable laws.

Mr. Business brokers net Matta has many years’ experience advising large-plan fiduciaries, financial institutions and investment professionals regarding plan investments in financial products such as mutual funds, hedge and private equity funds, bank collective trusts, real estate, derivatives and other alternative investments. Sunbelt business brokers las vegas He also advises on financial services to plans such as investment advisory and “managed account” programs, brokerage and wrap products, recordkeeping platforms, outsourced CIO services, independent fiduciary services, ESG investing, securities lending, bank sweeps, trust and custody services, and service provider “alliance” agreements.


Business brokers in florida His experience extends to helping plan fiduciaries with governance/compliance audits and development of compliance programs and investment policies. Transworld business brokers In addition to advising on ERISA fiduciary and prohibited transaction matters, he advises plan service providers on securities law issues involving exemptions from broker-dealer registration, FINRA compliance for marketing securities to plans, Investment Advisers Act compliance, exemptions from the Investment Company Act, and private offering rules. Sunbelt business brokers reviews Representative clients include Fortune 500 plan sponsors, independent VEBAs, major banks and broker-dealers and mutual fund complexes as well as trust companies and private fund managers. Kr business brokers He also counsels a number of other law firms and their clients in connection with complex and specialized ERISA, IRA and governmental plan issues. Alpha business brokers Mr. Arkansas business brokers Matta has worked with clients in obtaining scores of Department of Labor prohibited transaction exemptions and advisory opinions, as well as SEC/FINRA guidance and IRS rulings. Business brokers association He also advises large defined benefit plan sponsors and fiduciaries on issues relating to the acquisition and holding of employer securities and de-risking transactions such as in-kind contributions of assets and participant cash-outs.

Mr. Brooklyn business brokers Matta co-chairs Groom’s IRA practice where he advises financial institutions on IRA and HSA products; custody, brokerage, advisory and other services; and prohibited transaction issues. Sunbelt business for sale He also advises high net worth individuals on “self-directed” IRA issues including investments in private funds, real estate, and operating businesses.

Mr. Vested business brokers review Matta speaks regularly at various venues including professional and trade association sponsored events and CLE programs. Business brokers denver Recent events include the 2016 FINRA Annual Conference; 2016 UN Principles of Responsible Investing Western North America Conference; 2016 ALI-CLE Webinar “Securities Law for ERISA Professionals;” 2015 ALI-CLE Webinar “Impact of the Proposed DOL Fiduciary Rules on IRAs;” Planning Chair, 2014 ALI-CLE Conference on Individual Retirement Accounts; 2011-2015 annual ALI-CLE Conferences on Collective Investment Funds. One business brokers He is the author or co-author of numerous articles including “ERISA for Securities Professionals,” and is frequently quoted in legal and business publications. Business brokers minnesota Honors & Distinctions